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Stephen F. Austin
State University
Minutes of the
Board of Regents
Nacogdoches, Texas
October 23,2001
Volume 178
TABLE OF CONTENTS
Page
02-01 Selection of 3D International as Architect, and Kingham Construction as
Construction Manager for Human Services/Telecommunications Building .... 1
02-02 Approval of Consent Agenda Items 1
Approval of July 17,2001 and August 15,2001 Minutes 1
Faculty and Staff Appointments for 2001-2002 1
Changes of Status 4
Retirement 4
Underenrolled Classes 4
Declining Balance Program 6
Resolution to Reimburse Expenditures with Proceeds of Future Debt 6
Purchase of Water Sample Testing Services 6
Purchase of Equipment for Office of Instructional Technology TIF Grant... 6
Purchase of Equipment for Steen Library TIF Grant 6
Purchase of Equipment for Forestry Analytical Laboratory/Greenhouse 6
Purchase of ImageNow Document Imaging System 7
Vehicle Replacements 7
Energy-Related Contracts 7
Credit Card Merchant Service Fees Agreement 7
Concrete Contract 7
Notice of Redemption, Board of Regents of Stephen F. Austin State
University Consolidated University Refunding Bonds, Series 1991A
and Series 1991B 8
University Mainframe Computing System 8
Facade - Art Center at the Opera House 8
Residence Hall Fire Safety 8
Natural Gas Contract 8
Rusk and HPE Building Restorations 8
Campus Sidewalk Repair 8
Electric Service 8
East College Cafeteria Air Handlers 9
Antenna Space Lease 9
Coordinating Board Approval of Tuition Revenue Bond Projects 9
Arthur Temple College of Forestry Front Entrance 9
Policy Revisions 9
Selection of University Marketing Firm, Kolar Advertising and Marketing 9
02-03 Appointment of Marc Cossich as Chief of University Police 9
Reports 9
Chair, Faculty Senate
President, Student Government Association
President
Appendix No. 1 - Resolution to Reimburse Expenditures with Proceeds
of Future Debt 11
Appendix No. 2 - Notice of Redemption 12
Appendix No. 3 - Budget Changes 16
Appendix No. 4 - Policy Revisions 17
A-12 Copyrighted Works Reproduction PI
A-34 Off-Campus Credit Classes P8
A-35.1 Oral English Proficiency Exam PI 1
A-60 File Maintenance for Faculty Personnel Files P17
B-l 1 Hall 20 Guest Rooms P19
B-12 Homer Bryce Stadium P21
B-20 Norton HPE Complex P23
C-7 Best Value Procurement P25
C-10 Delegated Purchasing Authority P30
C-16.5 Historically Underutilitzed Businesses P33
C-20 Methods of Purchase P36
C-25.1 Prompt Payment to Vendors and Employees P40
C-30 Purchase Requisition P41
C-31 Purchase Voucher P44
C-32 Purchasing Authority P46
C-33 Purchasing Ethics and Confidentiality P47
C-34 Request to Establish an Account P48
C-42 Property Inventory Management P49
C-46 Reporting Fiscal Misconduct P55
C-48 Vendor Warrant Hold Verification P59
C-49 Travel P66
D-29 Safe and Vault Combinations P76
D-36 Training and Certification P77
E-9 Compensation in Excess of Base Salary P80
E-ll Discipline and Discharge P82
E-16 Employee Enrolling for Courses P88
E-27N Hiring of Non-Academic Personnel P89
E-29A Leave of Absence Faculty P91
E-30N Leave of Absence (Non-Academic) P97
E-32N Longevity Pay/Hazardous Duty Pay P103
E-33.1 New Employee Orientation P104
E-35 Outside Employment P105
E-46 Discrimination Complaints/Sexual Harassment P107
E-49 Temporary Employment PI 13
E-53 Vacation Leave PI 15
E-55 Workers Compensation Coverage PI 17
E-58 Family and Medical Leave PI 18
E-60 Selective Service Registration P123
E-62 Return to Work P125
F-6 Central Receiving P127
F-28 Student Service Fee Allocations P129
F-35 Vendor Protests P130
New Student Travel P133
MINUTES OF THE MEETING
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
NACOGDOCHES, TEXAS
OCTOBER 23, 2001
The meeting was called to order at 9:00 a.m. by Chair Mike Enoch. Board members
present in Room 307: Penny Butler, Margarita de la Garza Grahm, Kenneth James, Mike
Enoch, Gary Lopez, Susan Roberds, Mike Wilhite and Fred Wulf. Absent: Lyn Stevens.
Others present in Board Room 307: Tito Guerrero, Roland Smith, Janelle Ashley, Baker
Pattillo, Yvette Clark, and other SFA administrators, staff, and visitors.
02-01
Upon motion of Regent Wilhite, seconded by Regent Butler, with all members voting aye,
it was ordered that 3D International be the architectural firm and J. E. Kingham
Construction Company be the construction manager for the Human Services/Telecommu
nications Building. J. E. Kingham Construction Company was approved for other
miscellaneous projects not requiring Coordinating Board approval for a two-year period
beginning September 1, 2001 through August 31, 2003. Upon successful negotiation of
contracts, the president is authorized to sign the appropriate documents.
02-02
Upon motion of Regent Roberds, seconded by Regent Enoch, with all members voting
aye, the following consent agenda items were approved:
Approval of minutes of July 17, 2001 and August 15, 2001
Faculty and Staff Appointments for 2001-2002
1. Communication
Ms. Jessica Green, Lecturer, M.A. (Stephen F. Austin), at a salary of $23,000 for
100% time, for nine months, effective September 1, 2001.
2. Computer Science
Ms. Cherry Wahsheh, Lecturer, M.S. (Stephen F. Austin), at a salary of $30,000
for 100% time, for nine months, effective September 1, 2001.
3. Elementary Education
Ms. Lysa Gaston, Instructor, M.E. (Stephen F. Austin), at a salary of $41,000 for
100% time, for nine months, effective September 1, 2001.
4. English and Philosophy
Ms. Catherine A. Mitchell, Visiting Lecturer, M.A. (University of Texas at
Dallas), at a salary of $25,000 for 100% time, for nine months, effective
September 1,2001.
Dr. Charles L. Padron, Assistant Professor, Ph.D. (Vanderbilt University), at a
salary of $34,000 for 100% time, for nine months, effective September 1, 2001.
5. History
Dr. Carol D. Hammond, Visiting Assistant Professor, Ph.D. (University of North
Texas), at a salary of $31,000 for 100% time, for nine months, effective
September 1,2001.
6. Human Sciences
Mr. Melih Madanoglu, Instructor, M.S. (Oklahoma State University), at a salary
of $30,000 for 100% time, for nine months, effective September 1, 2001.
7. Human Services
Ms. Shelia Dyer, Lecturer, B.A. (East Central State University), at a salary of
$35,000 for 100% time, for nine months, effective September 1, 2001.
Ms. Peggy B. Gill, Assistant Professor, Ed.D. (Stephen F. Austin), at a salary of
$40,000 for 100% time, for nine months, effective September 1, 2001.
Dr. Janice E. Stalling, Associate Professor, Ed.D. (University of South Dakota), at
a salary of $45,000 for 100% time, for nine months, effective September 1, 2001.
8. Kinesiology and Health Sciences
Mr. David A. Goodman, Lecturer, M.Ed. (Stephen F. Austin), at a salary of
$36,307 for 100% time, for nine months, effective September 1, 2001.
9. Mathematics and Statistics
Mr. Eric J. Oslund, Lecturer, M.S. (Stephen F. Austin), at a salary of $31,000 for
100% time for nine months, effective September 1, 2001.
10. Music
Mr. Paul R. Piersall, Visiting Instructor, M.M. (Southern Methodist University),
at a salary of $32,000 for 100% time, for nine months, effective September 1,
2001.
11. Nursing
Mr. Bradley J. Manuel, Clinical Instructor, M.S.N. (University of Texas), at a
salary of $40,000 for 100% time, for nine months, effective September 1, 2001.
12. Political Science
Dr. Jeffery S. Clark, Visiting Assistant Professor, J.D. (Texas Tech Law School),
at a salary of $30,000 for 100% time for nine months, effective September 1,
2001.
Dr. Kristopher D. White, Visiting Assistant Professor, Ph.D. (University of
Connecticut), at a salary of $32,000 for 100% time for nine months, effective
September 1,2001.
13. Psychology
Dr. William S. Rogers, Visiting Assistant Professor, Ph.D. (Texas A&M
University), at a salary of $31,000 for 100% time for nine months, effective
September 1,2001.
14. Secondary Education
Dr. Fred M. Zachary, Associate Professor, Ed.D. (East Texas State University),
at a salary of $52,000 for 100% time for nine months, effective September 1,
2001.
15. Social Work
Mr. H. Stephen Cooper, Lecturer, M.S.W. (Stephen F. Austin), at a salary of
$33,000 for 100% time for nine months, effective September 1, 2001.
16. Sociology
Dr. Swati Shirwadkar, Visiting Professor for Diversity Studies, Ph.D. (Pune
University — India), at a salary of $45,000 for 100% time for four and one-half
months, effective January 1, 2002.
17. Theatre
Ms. Angela Bacarisse, Assistant Professor, M.F.A. (Memphis State University),
at a salary of $38,500 for 100% time for nine months, effective September 1,
2001.
Dr. Richard C. Jones, Assistant Professor, Ph.D. (University of Kansas), at a
salary of $38,500 for 100% time for nine months, effective September 1, 2001.
Ms. Kimberly C. Wagner, Assistant Professor, M.F.A. (Purdue University), at a
salary of $38,500 for 100% time for nine months, effective September 1, 2001.
Ms. Shari B. Watterston, Lecturer, M.A. (Stephen F. Austin), at a salary of
$32,000 for 100% time for nine months, effective September 1, 2001.
18. Athletics
Ms. Monica Armendarez, Assistant Softball Coach, at a salary of $19,000 for
75% time for 10.5 months, effective September 1, 2001
Ms. Ta Azar Bingham, Assistant Track Coach, at a salary of $30,000 for 100%
time for 10.5 months, effective September 1, 2001.
Mr. Jerrell Mark Bradley, Assistant Football Coach and Instructor, at a salary of
$52,041 for 100% time for 10.5 months, effective July 17, 2001.
Mr. James Dixon, Assistant Sports Information Director, at a salary of $27,500
for 100% time for 12 months, effective July 23, 2001.
19. Auxiliary Services
Mr. Daniel C. Duplechian, Programmer/Analyst I, at a salary of $27,185 for 100%
time for 12 months, effective August 8, 2001.
20. Intramurals
Mr. Joe Rabago, Intramural Supervisor, at a salary of $20,954 for 100% time for 9
months, effective September 4, 2001.
21. Multicultural Center
Ms. Comelita Williams, Coordinator of the Multicultural Center, at a salary of
$35,550 for 100% time for 12 months, effective September 5,2001.
Changes of Status
1. Accounting
Dr. Jack Ethridge, from Chair and Professor at a salary of $90,409 for 100% time
for eleven months, to Professor at a salary of $73,971 for 100% time for nine
months, effective July 31, 2002.
2. Library
Ms. Karen H. Wielhorski, from Librarian III, Head of Reference at a salary of
$68,444 for 100% time for twelve months to Associate Director for Information
Services and Librarian III at a salary of $75,000 for 100% time for twelve months,
effective September 1, 2001.
3. Health Clinic
Ms. Julia Farrell, from Head Nurse, at a salary of $41,750 for 100% time for 12
months, to Head Nurse, at a salary of $36,531 for 100% time for 10.5 months,
effective September 1, 2001.
Retirement
1. Forestry
Dr. R. Montague Whiting, effective January 31, 2002.
Underenrolled Classes Fall 2001
1. AGR 481.001 — Methods of Teaching Agr. Sciences in the Secondary School
Enrolled: 8|
Maintain sequence
2. BIO 420.001—Virology
Enrolled: 9
Maintain sequence
3. BIO 555.001 — Biological Ultrastructure
Enrolled: 4
Maintain sequence
4. ELE 351.004 — EC-4 Learners: Plan Instruc. & the Classroom Environment
Enrolled: 8
Maintain sequence
5. ELE 352.004 — EC-4 Learners: Implementing Instruc. & Professionalism
Enrolled: 8
Maintain sequence
6. ENV 349.001 — Environmental Soil Science
Enrolled: 7
Maintain sequence
7. FOR 305.001 — Wildlife Techniques
Enrolled: 8
Maintain sequence
8. FOR 317.001 — Forest Biometrics 11
Enrolled: 9
Maintain sequence/graduating student
9. FOR 451.001 — Management of Outdoor Recreation Areas
Enrolled: 9
Maintain sequence
10. HRT 416.001 — Plant Propogation
Enrolled: 7
Maintain sequence
11. NUR 320.002 — Individuals in Developmental Crisis
Enrolled: 8
Maintain sequence
12. NUR 414.002 — Families in Crisis
Enrolled: 9
Maintain sequence
13. NUR 415.002 — Leadership in Nursing
Enrolled: 8
Maintain sequence
14. NUR 416.002 — Systems Health Protection
Enrolled: 6
Maintain sequence
15. NUR 417.002 — Family Self-Care in Situational Crisis
Enrolled: 9
Maintain sequence
16. NUR 423.002 — Nursing Process Practicum
Enrolled: 6
Maintain sequence
17. PHY 132.001 — Electricity, Sound & Light
Enrolled: 9
Maintain sequence
18. PHY 431.001 — Introduction to Quantum Mechanics
Enrolled: 9
Maintain sequence/graduating student
19. SED 460.002 — Developing Learner-Centered Instruction And Assessment
Enrolled: 7
Maintain sequence
20. SED 578.021 — Seminar
Enrolled: 1
Maintain sequence/graduating student
21. STA 525.001 — Applied Nonparametric Statistics
Enrolled: 4
Maintain sequence
Declining Balance Program
It was ordered that that the University be permitted to proceed with the investigation
of the expanded Jack Bucks declining balance program, and that the President be
authorized to sign necessary contracts to implement the program, pending a review of
the program and agreements by the General Counsel.
Resolution to Reimburse Expenditures with Proceeds of Future Debt
It was ordered that the Resolution to Reimburse Expenditures with Proceeds of
Future Debt be approved as shown in Appendix No. 1.
Purchase of Water Sample Testing Services
It was ordered that the Board of Regents approve the purchase of necessary water
samples generated by the Alto Watershed Project and funded by the College of
Forestry, Center for Applied Studies in Forestry, Forest Resources Institute,
Temple-Inland Inc., and National Council for the Paper Industry for Air and Stream
Improvement, at a cost not to exceed $106,000.
Purchase of Equipment for Office of Instructional Technology TIF Grant
It was ordered that the purchase of equipment required of the HE3 Grant be
approved, not to exceed $375,875. The source of funds is the Higher Education III
(HE3) Grant.
Purchase of Equipment for Steen Library TIF Grant
It was ordered that the purchase of approximately 195 computers at a cost not to
exceed $301,650 be approved. Source of funds is the TIF Grant.
Purchases of Equipment for Forestry Analytical Laboratory/Greenhouse
It was ordered that approval be given for the purchase of the following equipment for
the newly renovated Forestry Analytical Laboratory/Greenhouse facility, and that the
President be authorized to sign the required purchase orders. :
1. Growth Chambers.
Cost: 3@ $55,000 each $165,000
Source of Funds: T.L.L. Temple Foundation Grant, Mclntire-Stennis Formula
Funds, and Instructional Capital Funds
2. Carbon-Nitrogen Analyzer
Cost: 1 Unit @ $78,000 $78,000
Source of Funds: T.L.L. Temple Foundation Grant
3. Time Domain Reflectrometer (TDR) Environmental Sensors for measuring in-situ
soil moisture.
Cost: 8 Units® $12,000 each $96,000
Source of Funds: T.L.L. Temple Foundation Grant
4. Atomic Absorption Spectrophotometer
Cost 1 Unit @ $67,000 $67,000
Source of Funds: T.L.L. Temple Foundation Grant
5. Laboratory Benches, Casework and Furnishings
Cost: Laboratory Casework $77,096
Source of Funds: T.L.L. Temple Foundation Grant
Purchase of ImageNow Document Imaging System
It was ordered that the purchase of an ImageNow Document Imaging System be
approved at a cost not to exceed $100,000 and that the President be authorized to sign
the required purchase order.
Vehicle Replacements
It was ordered that Physical Plant be authorized to purchase five replacement vehicles
and that the President be authorized to sign the purchase order. Purchase through the
FY 2002 state contract. FY 2002 HEAF funds not to exceed $100,000 with any
excess provided by Physical Plant O&M funds.
Energy-Related Performance Contracts
It was ordered that the University be authorized to consider proposals for energy-related
performance contracts. Any proposal considered acceptable and to the
advantage of the University will be brought before the Board of Regents for its
consideration.
Credit Card Merchant Service Fees Agreement
It was ordered that the University be authorized to proceed with solicitations for
Visa/Mastercard, Discover, and American Express credit card processing services for
the initial period of December 1, 2001 through November 30, 2002, with four annual
renewals, subject to administrative approval and that the President be authorized to
sign the contract.
Concrete Contract
It was ordered that an award to Cox Concrete Contractors, Inc. be approved for a
blanket contract for minor improvements of $10,000 or less involving concrete site
repair, concrete new construction and other associated minor alterations. The contract
has been established for one year, with one annual renewal, subject to administrative
approval. The President has signed the contract.
Notice of Redemption, Board of Regents of Stephen F. Austin State University
Consolidated University Refunding Bonds, Series 1991 A and Series 1991B
It was ordered that approval be given for the Notices of Redemption for Series 1991A
and Series 199IB, Board of Regents of Stephen F. Austin State University
Consolidated University Revenue Refunding Bonds. Further, the administration
recommends that the Board authorize the University to issue the Notices relative to
any portion or all of the outstanding bonds of either or both series, to be determined
based on available cash balances, funding requirements and interest markets.
University Mainframe Computing System
It was ordered that the University be authorized to proceed with procurement steps
to purchase new mainframe and associated storage hardware and systems at a cost not
to exceed $160,000 and that the President be authorized to sign the necessary
purchase orders. The source of funds is 2002 HEAF.
Facade - Art Center at the Opera House
It was ordered that the University be allowed to seek proposals for renovation of the
downtown Art Center facade and that the President be authorized to sign purchase
orders and contracts for the work, not to exceed $80,000. Sources of funding are:
grant, $25,000 and private gifts, $55,000.
Residence Hall Fire Safety
It was ordered that the Physical Plant Department be authorized to begin work
immediately to install hard-wired smoke detectors in the residence halls and to install
smoke compartmentalization improvements, and that the President be authorized to
sign the necessary contracts and purchase orders. The cost is not to exceed $500,000
over the two-year period.
Natural Gas Contract
It was ordered that the University be authorized to enter into a contract with Reliant
Energy/Entex for the purchase of natural gas. The contract may be cancelled with 30-
day notice every six months. Also the General Land Office will review the contract
every six months.
Rusk and HPE Building Restorations
It was ordered that the University be authorized to clean and restore the Rusk
Building exterior and to complete minor restoration work on the Lucille Norton HPE
Complex and that the President be authorized to sign purchase orders, not to exceed
$75,500, to complete the projects. The source of ftinds is Physical Plant 2002
HEAF.
Campus Sidewalk Repair
The administration recommends that Physical Plant be authorized to proceed with
phase I of the three-year sidewalk repair plan and that the President be authorized to
sign the necessary contracts and purchase orders not to exceed $60,000. The source
of funds is Physical Plant 2002 HEAF.
Electric Service
It was ordered that the University be authorized to enter into an agreement with TXU
for electric service, seek better proposals if available, or take whatever action is
required to insure continued electric service at a rate equal to, or less than, the
regulated rate in effect December 31, 2001. Any contract for electric service beyond
December 31, 2002 will be brought before the Board for approval.
East College Cafeteria Air Handlers
It was ordered that the University be authorized to replace the air handlers in the East
College Cafeteria basement at a price not to exceed $110,000 and that the President be
authorized to sign the necessary purchase orders. Source of funds: University Center
budgeted maintenance funds for FY02.
Antenna Space Lease
It was ordered that the University be authorized to enter into a antenna space lease
agreement with Verizon, provided the University's legal counsel approves the
contract, and that the President be authorized to sign the lease.
Coordinating Board Approval of Tuition Revenue Bond Projects
It was ordered that the University be authorized to request Coordinating Board
approval for the projects approved in House Bill 658 (renovation or replacement of
the Human Services Building, replacement of the telecommunications facility, campus
infrastructure improvements, and renovation of Power Plant I) at a price not to exceed
$14,070,000.
Arthur Temple College of Forestry Front Entrance
It was ordered that the University be authorized to complete the renovation of the
front entrance to the Arthur Temple College of Forestry Building and addition of
several offices and minor alterations to the central portion of the building at a price
not to exceed $229,727 and that the President be authorized to sign the contracts. The
source of funds will be gifts ($120,000) and HEAF ($109,727).
Policy Revisions
It was ordered that the policy revisions be approved as presented.
Marketing Plan
It was ordered that the marketing plans and materials prepared by Kolar Advertising
and Marketing be accepted as presented.
02-03
Upon motion of Regent Roberds, seconded by Regent Butler, with all members voting
aye, approval was given for the the appointment of Mr. Marc Cossich, Chief of
University Police, at a salary of $70,000 for 100% time for 12 months, effective
September 3, 2001.
REPORTS
A. Faculty Senate Chair, Dr. Joe Devine
1. Salary Equity Steering Committee initiated by Dr. Guerrero
2. Admissions standards
3. Library materials budget
4. Distance Learning and Intellectual Property Policy
5. Developmental/remedial program
6. Guidance in evaluating web sites
B. President, Student Government Association, Mr, Charlie Hueber
1. Status of leadership minor
2. Student response regarding Dean of Student Development
C. President, Dr, Tito Guerrero III
1. Meetings with School Superintendents and Community College Presidents
throughout the Region (Region 5 - Beaumont, November 14,2001; Region 8 -
Mount Pleasant, December 5, 2001)
2. Meeting with Governor Perry (October 19, 2001)
3. HACU Annual Conference (October 27-31, 2001)
4. Board of Visitors, Air University, Maxwell Air Force Base (November 4-7, 2001)
5. Exploration of Possible Collaborations with the State of Chihuahua (November 7-
11,2001)
6. Interior Design Accreditation Team Visit (November 12, 2001)
7. Big Switch (November 15, 2001)
8. AASCU Winter Meeting (November 18-21, 2001)
9. Football Game Against Texas Tech University (November 24, 2001)
10. Commencement (December 15, 2001)
11. Answer Questions from Members of the Board of Regents
Upon motion of Regent Roberds, seconded by Regent de la Garza-Grahm, the meeting
adjourned at 11:35 a.m.
10
Appendix No. 1
Board of Regents
Stephen F, Austin State University
Nacogdoches, Texas
RESOLUTION DECLARING EXPECTATION TO REIMBURSE
EXPENDITURES WITH PROCEEDS OF FUTURE DEBT
WHEREAS, Stephen F. Austin State University (the University) intends to
expend approximately $14,070,000 to finance campus infrastructure improvements,
construction of a telecommunications building, renovation of power plant facilities, and
replacement or renovation of the Birdwell Building (the Project) to be funded with
proceeds of bonds to be issued by the Texas Public Finance Authority (the Authority )
as authorized by House Bill 1077, Acts of the 75th Legislature, Regular Session (1997)
and by House Bill 658, Acts of the 77th Legislature, Regular Session (2001); and
WHEREAS, the University intends to expend an amount not to exceed
$14,070,000 (the Expenditure ) for Project costs and intends the Expenditure to be
reimbursed from proceeds of bonds to be issued by the Authority for the Project; and
WHEREAS, under Treas. Reg. Section 1.103-19 (the Regulation) to fund such
reimbursement with proceeds of tax-exempt obligations, the University must declare its
expectation of such reimbursement before making the Expenditure; and
WHEREAS, the University and the Authority desire to preserve the ability to
reimburse the Expenditure with proceeds of tax-exempt obligations;
NOW THEREFORE THE UNIVERSITY HEREBY RESOLVES that it
reasonably expects to reimburse the Expenditure with the proceeds of the bonds to be
issued thereafter by the Authority, and this Resolution shall constitute a declaration of
official intent under the Regulation.
BE IT FURTHER RESOLVED, that a copy of this resolution be spread upon
the minutes of the October 22, 2001, meeting of the Board.
This Resolution will be made available for public inspection at the office of the
Authority at 300 West 15th Street, Austin, Texas and at the main office of the University
at 1936 North Street, Austin Building, Office 315, Nacogdoches, Texas.
THE BOARD OF REGENTS, STEPHEN F. AUSTIN STATE UNIVERSITY
Attest:
Penny Butler, Secretary
11
Appendix No. 2
NOTICE OF REDEMPTION
Board of Regents of Stephen F. Austin State University
NOTICE is hereby given that the Board of Regents of Stephen F. Austin State University
(the "Board") has called for redemption on the date and at the redemption price specified, the below
listed Outstanding Bonds of the Board as follows:
Board of Regents of Stephen F. Austin State University Consolidated University
Revenue Refunding Bonds, Series 1991A, dated April 15, 1991, maturing on the
dates and in the amounts, bearing CUSIP numbers and being redeemed on the date
and at the redemption price as follows:
MATURITY PRINCIPAL REDEMPTION INTEREST CUSIP
DATE AMOUNT DATE RATE NO. »
October 15,2002 $ 1,635,000 6.50% 858620P27
October 15,2012 1,705,000 6.75% 858620P68
aggregating $3,340,000 in principal amount. Said Bonds shall be redeemed at The Chase Manhattan
Bank in Dallas, Texas, the Paying Agent for said Series 1991A Bonds. Upon presentation of said
Bonds at the Paying Agent on the aforementioned redemption date, the Registered Owner thereof
shall be entitled to receive the redemption price equal to the principal amount of the Bonds to be
redeemed and accrued interest thereon to the date fixed for redemption.
NOTICE IS FURTHER GIVEN that due and proper arrangements have been made for
providing the Paying Agent with fiinds sufficient to pay the redemption price of the Bonds called
for redemption. In the event said Bonds, or any of them are not presented for redemption by the
date fixed for their redemption, they shall not thereafter bear interest.
THIS NOTICE is issued and given pursuant to the redemption provisions in the proceedings
authorizing the issuance of the aforementioned Bonds and in accordance with the recitals and
provisions of each of said Bonds.
NOTICE IS FURTHER GIVEN that the Bonds should be submitted to the following
address:
BY MAIL OR BY COURIER:
The Chase Manhattan Bank
P. O. Box 2320
9th Floor
Dallas, TX 75221-2320
Attn: Institutional Trust Services
Withholding of 31% of gross redemption proceeds of any payment made within the United
12
States maybe required by the Interest and Dividend Tax Compliance Act of 1983 unless the Paying
Agent has the correct taxpayer identification number (social security or employer identification
number) or exemption certificate of the payee. Please furnish a properly completed Form W-9 or
exemption certificate or equivalent when presenting your securities.
* The Board and Paying Agent shall not be responsible for the use of the CUSIP number
selected, nor is any representation made as to its correctness indicated in the notice or as printed on
any Bond. It is included solely for the convenience of the holders.
WITNESS MY OFFICIAL SIGNATURE this the^~~day of UC-WbJS, 2001
Roland K. Smith
Vice President for Business Affairs
Stephen F. Austin State University
13
NOTICE OF REDEMPTION
Board of Regents of Stephen F. Austin State University
NOTICE is hereby given that the Board of Regents of Stephen F. Austin State University
(the "Board") has called for redemption on the date and at the redemption price specified, the below
listed Outstanding Bonds of the Board as follows:
Board of Regents of Stephen F. Austin State University Consolidated University
Revenue RefundingBonds, Series 1991B, dated April 15,1991, maturing on the dates
and in the amounts, bearing CUSIP numbers and being redeemed on the date and at
the redemption price as follows:
MATURITY PRINCIPAL REDEMPTION INTEREST CUSIP
DATE AMOUNT DATE RATE NO. *
October 15,2002 $ 320,000 6.50% 858620P35
October 15,2004 755,000 6.50% 858620P50
aggregating $ 1,075,000 in principal amount. Said Bonds shall be redeemed at The Chase Manhattan
Bank in Dallas, Texas, the Paying Agent for said Series 199IB Bonds. Upon presentation of said
Bonds at the Paying Agent on the aforementioned redemption date, the Registered Owner thereof
shall be entitled to receive the redemption price equal to the principal amount of the Bonds to be
redeemed and accrued interest thereon to the date fixed for redemption.
NOTICE IS FURTHER GIVEN that due and proper arrangements have been made for
providing the Paying Agent with funds sufficient to pay the redemption price of the Bonds called
for redemption. In the event said Bonds, or any of them are not presented for redemption by the
date fixed for their redemption, they shall not thereafter bear interest.
THIS NOTICE is issued and given pursuant to the redemption provisions in the proceedings
authorizing the issuance of the aforementioned Bonds and in accordance with the recitals and
provisions of each of said Bonds.
NOTICE IS FURTHER GIVEN that the Bonds should be submitted to the following
address:
BY MAIL OR BY COURIER:
The Chase Manhattan Bank
P. O. Box 2320
9th Floor
Dallas, TX 75221-2320
Attn: Institutional Trust Services
Withholding of 31% of gross redemption proceeds of any payment made within the United
14
States may be required by the Interest and Dividend Tax Compliance Act of 1983 unless the Paying
Agent has the correct taxpayer identification number (social security or employer identification
number) or exemption certificate of the payee. Please furnish a properly completed Form W-9 or
exemption certificate or equivalent when presenting your securities.
* The Board and Paying Agent shall not be responsible for the use of the CUSIP number
selected, nor is any representation made as to its correctness indicated in the notice or as printed on
any Bond. It is included solely for the convenience of the holders.
WITNESS MY OFFICIAL SIGNATURE this XheZZ-" day oftfkf^W-; 2001.
Roland K. Smith &
Vice President for Business Affairs
Stephen F. Austin State University
15
Appendix No. 3
Stephen F. Austin State University
Schedule of Budget Increases
July 5, 2001 to September 26, 2001
16
Appendix No. 4
Policies for Board Review
October 23, 2001
17
Appendix No. 4
Policies for Board Review
October 23,2001
18
Copyrighted Works Reproduction A-12
Original Implementation: 1979
Last Revision: July 27, \999October 23, 2001
The copyright law (Public Law 94-533) affects everyone involved in photocopy reproduction
and all types of reproduction and/or use of other's works. The following guidelines provide
general copyright information useful to the academic community.
I. Public Copy Machines
All public copy machines or public copy centers on campus must have a warning notice on or
near each machine, which states that the responsibility for copyright infringement rests with the
user. The use of printed copyright warnings transfers a portion of the responsibility for copyright
compliance to the individual user. All employees who assist in making copies must comply with
the fair use guidelines below. The law requires Ppublic copy machine users arc encouraged to
follow these fair use guidelines, copic3 of which shall be niadc available at a reasonable location
near public copy machines.
II. General Fair Use Guidelines
Only the following copies may be made from copyrighted works:
A. A single copy of one or more chapters from a book, one or more articles from a periodical
title, one or more short stories, essays, short poems, charts, graphs, diagrams, drawings,
cartoons, or pictures, provided the amount of copying does not exceed 10% of the entire
volume.
B. Copies in excess of this amount may be permissible in some circumstances under fair use.
The following factors wilt-must be considered:
1. the purpose and character of the use, including whether such use is of a commercial
nature or is for nonprofit educational purposes;
2. the amount and substantiality of the portion used in relation to the copyrighted work as
a whole;
3. the nature of the copyrighted work; and
4. the effect of the use upon the potential market for or value of the copyrighted work.
Refer to 17 U.S.C. 504 (c)(2) within the copyright law.
C. A single copy of an excerpt from a musical work, provided the excerpt is less than 10% of
the entire work and is less than a performable unit, such as a section, movement or aria.
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D. A single copy of an entire work, provided a copy cannot be obtained at a fair price.
III. General Guidelines on Public Works
Free use of materials not protected by copyright is permitted for public works. The presence or
absence of a copyright notice is no longer of significance in determining what is a protected
copyright or a public work. Older works published without a notice may be in the public domain,
but for works created after March 1, 1989, absence of a notice is non-determinative. The
following guidelines may be used to determine what constitutes a public work.
A. Works that lack originality (e.g., phone book)
B. Works in the public domain (no longer protected by copyright)
C. Free ware (must be expressly stated)
D. U.S. Government works
E. Facts
F. Ideas, processes, methods, and systems described in copyrighted work that is not
otherwise protected by patents.
IV. Special Library Guidelines
Libraries are authorized to exercise special rights in addition to fair use. These rights are
described in Section 108 of the copyright law. They allow copying for archiving lost, stolen,
damaged, or deteriorating works, making copies for library patrons, and making copies for other
libraries' patrons (interlibrary loan). For works in the last 20 years of protection and not
available at a reasonable price, more generous copying than indicated below may be performed
provided the purpose of the copying is to support preservation, scholarship or research.
A. Copies made by library staff for patrons generally
1. All of the general fair use requirements listed above apply for patron copying.
2. Only single copies, and no multiple copies, will be made.
3. Copy requests exceeding these limitations must be refused.
B. Copies made by library staff for reserve and for a faculty member's classroom use
1. All of the general fair use requirements listed above apply for single or multiple
copies.
2. Multiple copying may not exceed one copy per student, and may not be repeated with
respect to the same item by the same instructor from term to term.
3. Copy requests exceeding these limitations must be refused.
C. Copies made by library staff for purposes of collection maintenance
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A published work may be duplicated to replace a copy that is damaged, deteriorating, lost or
stolen, provided that after a reasonable effort the Library has determined that an unused
replacement cannot be obtained at a fair price.
An unpublished work may be duplicated for purposes of preservation or security or for
deposit for research use in another library.
D. Interlibrary loan copying
The library may annually acquire, through interlibrary loan, up to five copies of articles
published in any title within the last five years. If a request exceeds the five articles
permitted, the Access Services Department will apprise the patron of other options.
E.-Digitizing other's works in electronic reserves
1. Limit reserve materials to
a. single articles or chapters; several charts, graphs or illustrations; or other small
parts of a work
b. small part of materials required for the course
c. copies of material a faculty member or the library already possesses legally (i.e.,
by purchase, license, fair use, interlibrary loan, etc.)
2. Include
a. any copyright notice on the original
b. appropriate citations and attributions to the source
c. a Section 108(f) (1) notice indicating that making a copy may be subject to
copyright law.
3. Limit access to students enrolled in the class and administrative staff as needed.
Terminate access at end of class term.
4. Obtain permission for repeated use of materials by the same instructor for the same
class.
Sections ±-$ IV is-afe concerned with the copying that can be legally done without obtaining the
copyright owner's permission. The Library may not make copies in excess of the limits stated in
the above sections without the permission of the copyright owner. It is the user's responsibility to
obtain permission of the owner when such permission is needed. It is suggested that in requesting
permission, the user state the purpose for the copying and the number of copies being requested.
When the user presents evidence of the owner's permission, the library may copy within the
limits of the permission statement.
V. Guidelines for Coursepacks
The General Fair Use Guidelines are applicable to coursepacks. Copyright notices, appropriate
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citations and attributions should be included. The faculty/staff member who compiles the
coursepack materials shall be responsible for complying with these guidelines. Permission must
be obtained for materials that will be repeatedly used by the same instructor for the same class.
Using a commercial copy shop does not necessarily relieve the coursepack creator of liability,
unless the above guidelines are followed or the copy shop pays appropriate royalties. Campus
copy centers are not permitted to copy coursepacks, unless these guidelines are followed.
VI. Computer Software
As previously explained oOnly explicitly stated freeware, not shareware or other licensed
software, is allowed to be freely used without a license. Appropriate licenses must be obtained
. for all other software use. The software user is responsible for reading and complying with all
"shrink wrapped" or other license agreements. Other University computer use policies shall also
apply.
VII. Guidelines for Music
The University maintains some general licenses for copyrighted music use with BMI and
ASCAP for specific use areas (e.g., College of Fine Arts, Student Activities, etc.). Beyond those
areas, use of music must be licensed or specific permission obtained. General guidelines for
copying music are outlined below.
A. Limit copying as follows:
1. sheet music, entire works: only for performances and only in emergencies
2. sheet music, performable units (movements, sections, arias, etc.); only if out of print
3. student performances, record only for teacher or institutional evaluation or student's
portfolio
4. sound recordings: one copy for classroom or reserve room use
B. Include
1. any copyright notice on the original
2. appropriate citations and attributions to the source
3. a Section 108(f)(l) notice that making a copy may be subject to copyright law
C. Replace emergency copies with purchased originals if available
VIII. Performances and Displays in Face-to-Face Teaching and Broadcasts
Educational institutions and governmental agencies are authorized to publicly display and
perform others' works in the course of face-to-face teaching activities, and to a limited degree, in
broadcasts whert there is a delayed transmission of faculty instruction. These rights are
described in Sections 110(1) and (2) of the copyright law.
IX. Performances and Displays in Distance Learning
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Sections 110(1) and (2) of the copyright law outlined in section VIII of this policy may not
cover fair use of the performance of others' works in online course materials. The guidelines
below incorporate these basic rules: small parts, limited times, and limited access are the keys to
fair use.
A. Incorporate performances of others' works
1. sparingly
2. only if a faculty member or the institution possesses a legal copy of the work
B. Include
1. any copyrighted notice on the original
2. appropriate citations and attributions to the source
3. a Section 108(f)(l) notice that making a copy may be subject to copyright law
C. Limit access to students enrolled in the class and administrative staff as needed. Terminate
access at the end of the class term.
D. Obtain permission for materials that will be used repeatedly by the same instructor for the
same class.
X. Digitizing and Using Images for Educational Purposes
First and foremost, if an image is readily available online or for sale or license at a fair price,
point to, purchase, or license the image. If an image is not readily available online or for sale or
license at a fair price, digitize and use the image in accordance with the following limitations:
A. Limit access to all images except "thumbnails" to students enrolled in the class and
administrative staff as needed. Terminate access at the end of class term.
B. "Thumbnails" are visual identification tools of a size and quality that makes them
commercially useless. Since thumbnails are of no commercial value, fair use would permit
their use without restriction.
C. Faculty members may also use these images at peer conferences.
D. Students may download, transmit and print out these images for personal study and for
use in the preparation of academic course assignments and other requirements for degrees,
may publicly display images in works prepared for course assignments, etc., and may keep
works containing images in their portfolios.
E. Periodically review digital availability. If a previously unavailable image becomes
available online or for sale or license at a fair price, point to or acquire it.
XI. Digitizing and Using Other's Works in Multimedia Materials For Educational Purposes
The CONFU Fair Use Guidelines for Educational Multimedia suggest that fair use requires
P5
adherence to specific numerical portion limits, that copies of the multimedia work that includes
the works of others should be strictly controlled, and that fair use "expires" after 2 years. The
following general guidelines acknowledge that these are important considerations, but that the
CONFU numerical limits do not constitute the outer limits of fair use.
The guidelines below allow for the creation of unique works within the limitations provided, but
not to make multiple copies and give them out. (Multimedia works which include the use of
other's works and will be licensed, distributed or sold, must obtain appropriate permission from
each applicable copyright holder.)
A. Students, faculty and staff may
1. incorporate other's works into a multimedia work
2. display and perform a multimedia work in connection with or creation of
a. class assignments
b. curriculum materials
c. remote instruction
d. examinations
e. student portfolios
f. professional symposia
B. Be conservative. Use only small amounts of other's works.
C. Provide appropriate acknowledgments to the work of others.
D. Do not make any unnecessary copies of the multimedia work.
XII. Permission
In all circumstances other than the specific fair use guidelines described above, permission must
be obtained from the copyright holder. Advance planning is important to purchase, license or
otherwise obtain appropriate permission for use of copyrighted material.
XIII. Personal Liability
Personal liability for copyright infringement can be created for willful acts. This policy has been
formulated to provide specific guidance on the variety of circumstances where fair use is
permissible. The copyright law provides a good faith fair use defense [17 USC 504 (c)(2)]. It
applies only if the person who copied material reasonably believed that what he or she did was
fair use. Adherence to this policy will help protect the SFA academic community from potential
copyright liability.
Recent federal legislation entitled the No Electronic Theft (NET) Act creates criminal penalties
for non-commercial copyright infringement of a sufficient dollar value. The academic
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community must be aware that distribution of pirated computer software or other copyrighted
material on computer bulletin boards or other methods of distribution may constitute a federal
crime, regardless of whether or hot the infringer receives any financial gain.
The Digital Millennium Copyright Act (DMCA) limits University liability as an internet service
provider for certain copyright infringements created on-line. The University's registered agent
for on-line copyright infringement complaints shall be the General Counsel. The DMCA
establishes procedures whereby, upon receipt of proper complaints, the University will block
access to or take down allegedly infringing material and notify the web page owner of the
complaint. The alleged infringer may issue a counter-notice, which includes a signature,
description of removed material, explanation why the material did not infringe any copyright,
and their name, address and phone number, with a consent to the jurisdiction of the Court to be
sued. Upon receipt of this counter-notice, the University shall re-post the material. Repeat
infringers will be subject to termination of internet service by the University. See University
Policy, Computer and Network Security D-8.1 and Digital Millennium Copyright Policy D-8.2.
Further information can be obtained by accessing the webpage of the U.S. Copyright Office
within the Libraiy of Congress at: http ://www.lcweb.loc. gov/copvright/You may also contact the
University's General Counsel with specific inquiries.
Source of Authority: 17 U.S.C. section 101 et seq., NET Act H.R. 2265 105th Congress, Digital
Millenium Copyright Act, Pub.L.No. 105-304,112 Stat. 2860 (October 28, 1998), CONFU
Guidelines, Vice President for Academic Affairs
Cross Reference: University Policies, Computer and Network Security D-8.1, and Digital
Millennium Copyright Policy D-42
Contact for Revision: Director of University Libraries, General Counsel
Forms: None
P7
Off-Campus CourscsCra/*7 Classes A-34
Original Implementation: September 8, 1978
Last Revision: April 20, \999October 23, 2001
The University recognizes extension and field services off-campus credit classes as an
important responsibility to the citizens of Texas. As part of this responsibility, the
University offers off-campus courses designed to meet educational needs of its clientele.
The following policies and procedures are designed to guide and expedite the off campus
credit programs of the University.
-k- General policies for off-campus coursssclasses:
a. All off-campus courses classes must be approved by the Coordinating Board and
meet its guidelines for the conduct of such coursesclasses. The responsibility for
submitting a proposed class rests with the dean of the college offering the class in
collaboration with the Distance Education Coordinator in the Office of
Instructional Technology,
b. The College of Education is responsible for securing approval of courses,
administering off campus facilities, scheduling of courses and registration. Each
academic dean of a college proposing to offer an off-campus class has the
responsibility, in conjunction with the appropriate department chair/division
director, for scheduling the class, reserving space at reasonable cost, and
managing the budget related to that class. Each class must have at least ten (10)
students.
c. A department offering an off-campus coursec/oss-is responsible for the
instructional aspects of the eewsec/a.y.y-including staff, content, materials and
evaluation as well as for student advising, registration, and degree plans..
d. A department offering a program in which a substantial portion of degree
requirements may be completed off campus is responsible for student advising
and preparation of degree plans.
e. The following two types of courses may be offered off campus:
(1) Resident credit: These courses operate under the same fee schedule as on
campus courses.
(2) Extension: All direct instructional costs are paid by the students. Semester
hours do not qualify for state appropriations. Salaries cannot be paid from
appropriated faculty salary funds.
Or.—Approval procedure for off campus resident credit courses:
The following procedures and deadlines have been established to meet the Coordinating
Board's calendar as well as the University's class scheduling and registration.
a. An annual plan for off campus courses is submitted to the Coordinating Board in
March preceded by notification of regional peer institutions. The deadline for
departments to submit courses for the annual plan is January 31.
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b. Where changes are necessary in the annual plan, the following deadlines apply:
(1) July 15: Submit any course changes for the fall semester.
(2) November 1: Submit any course change for the spring semester.
(3) April 15: Submit any course change for Summer I and II.
(4) In emergency situations, approval can be obtained by telephone up to the
date of registration if a course is not questioned by another institution.
However, this procedure is reserved for exceptional circumstances.
Approval procedure for extension courses:
a. Proposed extension courses may be submitted until one week prior to their
beginning. Immediate approval of extension courses is usually obtainable.
b. Extension courses are self supporting. There must be sufficient enrollment to
cover the salary and travel of the instructor. Extension teaching is carried by the
instructor as an overload.
c. The clientele to be served should be identified specifically prior to submission of
the course for approval.
d. It is not necessary for extension courses to adhere to the semester calendar.
However, minimum class time requirements must be met.
Scheduling procedure:
a. A master schedule for each location will be prepared by the Dean of the College
of Education. The specific time schedules will be planned in consultation with the
respective department chair and the coordinator for off campus centers.
The following criteria will be utilized in the scheduling of classes.
(1) Academic and scheduling needs of students.
(2) Availability and utilization of facilities.
(3) Availability of faculty.
b. Schedule changes
Emergency changes in the meeting times of courses are permissible during the off
campus registration period if student needs demand a change. However, schedule
changes are subject to the following restrictions and procedures:
(1) A course may not be changed unless the change is approved by the
department chair, dean or departmental representative who is present at
registration. Approval may be obtained by telephone However, if such
approval is not obtained during the initial registration period, registration for
these students must be postponed until the first class day.
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(2) If a schedule change is made, the department chair will make the change on
the day following registration. Notification of the schedule change will be
submitted to the College of Education and, to the Graduate School.
$-.—Registration procedure:
a. Registration periods will be scheduled to accommodate prospective students.
Normally this can be accomplished in one registration period. The time will be set
by the Dean of the College of Education in consultation with the coordinator for
off campus centers and the department chair involved.
b. Responsibility for the registration process rests with the Dean of the College of
Education. This may be delegated to the coordinator for off campus centers or to
a specifically assigned field advisor at each site.
Because off-campus instruction makes demands on faculty time and energy beyond that
required for on-campus instruction, additional compensation is appropriate. The
responsibility for establishing the schedule of compensation rests with the Vice President
for Academic Affairs.
Source of Authority: Texas Education Code, Title III, sub-Title A, Chapter 51,
Subchapter C, Sec. 61.051; and Vice President for Academic Affairs
Cross Reference: Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
P10
Oral English Proficiency Exam A-35.1
Original Implementation: September, 1990
Last Revision: April 21, 1998 October 23, 2001
Background
Legislation enacted by the Texas Legislature requires that instruction at public colleges
and universities be delivered in understandable English. It further requires that each
University adopt policy establishing procedure for insuring that instructors faculty
members whose native language is not English are proficient in the use of the English
language. Therefore, the University has established this Oral English Proficiency
Program.
General Assumptions
1. It is understood that a faculty member may use a foreign language to conduct foreign
language courses designed to be taught in a foreign language.
2. It is also understood that a faculty member may provide individual assistance during
course instruction to a non-English-speaking student in the native language of the
student.
Identification of Faculty Members Lacking Proficiency in English
1. Departmental chairpersons shall cause all faculty members, as defined in Texas
Education Code, sec. 51.917, to specify in writing their native and primary language.
a. Those who identify English as their native or primary language and who offer
proof of that identification shall be exempt from any testing or oral language
improvement program.
b. Those who do not identify English as their native or primary language shall be
required to take and pass with an appropriate score either:
1) the Test of Spoken English (TSE-A or TSE-P) or
2) the locally administered SPEAK test.
c. The fact that a person has successfully completed the TSE-A and TSE-P or the
SPEAK test with an appropriate score would be duly recognized, and a document
attesting his success would be entered into the faculty member's personnel file, with
copies sent to his/her chairperson and dean, and to the Dean of Applied Arts and
Sciences and to the Vice President for Academic Affairs by the Division of Continuing
Education.
Pll
d. Those who fail to achieve an appropriate score on the TSE-A or TSE-P or the
SPEAK test will be required to enroll in the Oral English Proficiency Program offered at
Stephen F. Austin State University and described in this policy.
2. a. For each member of his/her department whose primary language is not
English, the departmental chairperson will complete and sign an oral English proficiency
form which rates each faculty member's English proficiency as being:
1) Acceptable
2) Unsatisfactory
The chairperson's rating shall be based on the faculty member's passing with an
appropriate score the TSE-A, TSE-P, or the locally administered SPEAK test.
b. The chairperson shall provide the faculty member with a copy of this form.
c. The chairperson shall send a copy of this English proficiency form to his/her
dean.
d. The dean shall send a copy of this English proficiency form to the Academic
Vice President.
Oral English Proficiency Program
This Program is meant to assist faculty members whose primary language is not English
to become more proficient in the use of English. This Program does not carry academic
credit.
1. The Program will be of a tutorial nature.
2. The Dean of Applied Arts and Sciences will be the dean of record.
3. ar-The Program will appear in the General Bulletin with a course number, a title, and a
description and be listed among the offerings of the Department of Communication, with
a cross-reference to the Division of Continuing Education.
b. The Program will appear in the General Bulletin with a course number, a title, and a
description (all from the Department of Communication) and be listed among the
offerings of the Division of Continuing Education.
er4. The bulletin description of the Program is as follows:
This Program is meant to assist faculty members whose primary language is not English
to become more proficient in the use of English. This Program doos not carry academic
tizOral English Proficiency Program (Communication 098) is a program designed to
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assist faculty members whose primary language is not English to become more proficient
in the use of English. This program does not carry academic credit.
45. The Program will be situated in the Academic Assistance Resource Center (AARC),
where there is adequate space, tutor-guided and self-help materials, and equipment for the
proper conduct of the Program.
5r-a<5. The Dean of Applied Arts and Sciences will appoint a Director of the Program,
among whose responsibilities are the testing of individuals, the establishing of minimum
scores, and the format for individual tutorial assistance and its frequency.
The Director of the Program will be additionally responsible for identifying the
appropriate instructional materials and communicating program needs to the Director of
the AARC.
The Director of the Program, acting upon the advice of the instructor(s) of the Program,
will also verify when or whether an individual has successfully completed the Program
and will report the results to the Director of Continuing Education, who will make a
recommendation to the faculty member's chairperson.
Director of Continuing Education will report these and subsequent decisions to the
Dean of Applied Arts and Sciences.
67. The Dean of Applied Arts and Sciences, in conjunction with the Director of
Continuing Education, will select the teacher(s) of the Program.
The teacher(s) of the Program may include:
a. the Director of the Program
b. an experienced or credentialed person from an English as a Second Language
educational program
c. an experienced or credentialed person from the Department of Communication
d. an experienced or credentialed person from AARC, with specialization in ESL
matters.
18. The law requires the faculty member to bear the costs of the program. Because of the
widely varying needs of the individual recipients of the Program, and consequently
because of the widely varying amounts of time involved in satisfactory completion of the
Program, the Director of Continuing Education will attempt to negotiate individual
contracts involving costs of the Program which will be satisfactory to both the recipients
of the Program and the instructor(s) of the Program.
. Successful completion of the Program will be signaled by:
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±a) the passing of a locally administered version of the SPEAK test with an appropriate
score or
2b) the passing of the TSE-A or TSE-P test with an appropriate score or
the decision of the Director of the Program, acting upon the advice of the teacher(s)
of the Program who, along with the person's chairperson, will certify a person's
successful completion of the Program.
an instructor's faculty member s successful completion of the Program, a
document asserting that fact will be issued by the Division of Continuing Education, with
approval by the Dean of Applied Arts and Sciences, and entered into the instructor's
faculty member s personnel file.
er-Further notification of an instructor's faculty member s successful completion of the
Program will be made to the relevant chairpersons, deans, and ultimately to the Vice
President for Academic Affairs by the Division of Continuing Education.
910. Should a person fail the Program, he/she will be required to re-enroll in the Program
until he/she is able successfully to complete it by passing a locally administered version
of the SPEAK test with an appropriate score or by passing the TSE-A or TSE-P test with
an appropriate score or by receiving the certification of successful completion by the
Director of the Program.
Identification of Instructor
1. Departmental chairpersons shall cause all faculty members, as defined in House Bill
638, to specify in writing their native and primary language.
a. Those who identify English as their native or primary language and who offor proof of
that identification shall be exempt from any testing or oral language improvement
program.
b. Those who do not identify English as their native or primary language shall be required
to take and pass with an appropriate score either:
1) the Test of Spoken English (TSE A or TSE P) or
2) the locally administered SPEAK tost.
c. The fact that a person has successfully completed the TSE A and TSE P or the SPEAK
test with an appropriate score would be duly recognized, and a document attesting his
success would be entered into the instructor's personnel file, with copies sent to his/her
chairperson and dean, and to the Dean of Applied Arts and Sciences and to the Vice
President for Academic Affairs by the Division of Continuing Education.
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d. Those who fail to achieve an appropriate score on the TSE A or TSE P or the SPEAK
test will be required to enroll in the Oral English Proficiency Program offered at Stephen
F. Austin State University and described in this policy.
2. a. For each member of his department whose primary language is not English, the
departmental chairperson will complete and sign an oral English proficiency form which
rates each faculty member's English proficiency as being:
1) Acceptable
2) Unsatisfactory
The chairperson's rating shall be based on the faculty member's passing with an
appropriate score the TSE- A, TSE P, or the locally administered SPEAK test.
b. The chairperson shall provide the faculty member with a copy of this form.
c. The chairperson shall send a copy of this English proficiency form to his dean.
d. The dean shall send a copy of this English proficiency form to the Academic Vice
President.,
Summary
The normal procedure, then, for one whose primary language is not English, would be as
follows:
1. Any instructor faculty member identified by a departmental chairperson whose native
language is not English is subject to the procedures contained in this policy.
2. The instructor^fCE//iry member would take a locally administered SPEAK test as a
means of determining his/her fluency in oral English.
3. If the instructor faculty member successfully completed this SPEAK test with an
appropriate score, this fact would be duly recognized, and a document attesting his/her
success would be entered into the faculty member instructor's personnel file, with copies
sent to his/her relevant chairperson, dean, and to the Vice President for Academic Affairs
by the Division of Continuing Education, with approval by the Dean of Applied Arts and
Sciences.
4. If the instructor faculty member failed the locally administered SPEAK test, he/she
would be required to enroll in the Program.
5. If an instructor faculty member objected to the results of the locally administered
SPEAK test, he/she could request to take the Test of Spoken English (TSE), which is
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offered twelve times a year and administered by Educational Testing Service at
established test centers in Fort Worth, Houston, and Austin at a cost ranging from $75 to
$100. (Teaching and research assistants apply for a test entitled TSE-A, which costs $75,
Faculty members Professors and others not designated as teaching or research assistants
request the test entitled TSE-P, which costs $100.)
6. Aft faculty member s instructor's passing the TSE-A or TSE-P test with an appropriate
score would obviate his/her enrolling in the Program.
7. The fact that an instructor faculty member has successfully completed either the TSE-A
or TSE-P test with an appropriate score would be duly recognized, and a document
attesting his/her success would be entered into his/her personnel file, with copies sent to
the appropriate chairperson and dean, and to Dean of Applied Arts and Sciences and to
the Vice President for Academic Affairs by the Division of Continuing Education.
8. Should the faculty member instructor fail the TSE-A or TSE-P test, he/she would be
required to enroll in the Program.
Source of Authority: Texas Education Code, sec. 51.917, Board of Regents, President,
Vice President for Academic Affairs
Cross Reference: None
Contact For Revision: Vice President for Academic Affairs
Forms: None
P16
File Maintenance for Faculty Personnel Files A-60
Original Implementation: October 31,2000
Last Revision: ¥leaeOctober 23, 2001
The Southern Association of Colleges and Schools requires that the university keep on file for
all full-time and part-time faculty members documentation of academic preparation including
official transcripts, and, if appropriate for demonstrating competency, official documentation
of professional and work experience, technical and performance competency, records of
publications, certifications and other qualifications. To meet that requirement, the following
guidelines have been established which address the contents of the file as well as the
designated place for maintaining the file.
Filed in Office of Vice President for Academic Affairs:
I. Tenured/Tenure Track Faculty: Professor, Associate Professor, Assistant
Professor, Instructor, Librarian I, II, III or IV — 9 month, 100% time, tenure
track
1) Personnel Action Request form (green copy)
2) Recommendation for Appointment form
3) Signed contract issued by VPAA office
4) Post-hire form
5) Curriculum vita
$6) Official transcripts from all degree granting institutions attended
67) Three letters of reference
EL Visiting (Rank), Lecturer, Librarian I-T, II-T, III-T, or IV-T, Designated
(fuil-time) — 9 month, 100% time, non-tenure track
1) Personnel Action Request form (green copy)
2) Recommendation for Appointment form
3) Signed contract issued by VPAA office
4) Post-hire form
5) Curriculum vita
$6) Official transcripts from all degree granting institutions attended
67) Three letters of reference
Filed in Office of Dean:
L Adjunct, Designated (part-time) — 4.5 to 9 months, less than 100% time, non
tenure track
1) Personnel Action Request form (blue copy)
2) Signed contract issued by Dean s office
3) Post-hire form
4) Curriculum vita
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4)5) Official transcripts from all degree granting institutions attended
$6) Three letters of reference
n. Graduate Teaching Assistant (Domestic)— Enrolled graduate student, 50% time |
or less, non-tenure track
1) Personnel Action Request form (blue copy)
2) Signed contract issued by Deans Graduate office |
3) Post-hire form
4) Official transcripts from all degree granting institutions attended
5) Three letters of reference
Filed in Graduate Office:
I. Graduate Teaching Assistant (International) — Enrolled graduate student, 50% time
or less, non-tenure track
1) Personnel Action Request form (blue copy)
2) Signed contract issued by Graduate Office
3) Post-hireform
4) Official transcripts from all degree granting institutions attended
5) Three letters of reference
The above records must be maintained for five (5) years after personnel leave active
employment.
Note: See Policy E-1A, Academic Appointments and Titles, for definition of titles.
Source of Authority: Vice President for Academic Affairs
Cross Reference: Policy and Procedure Manual, Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
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Hall 20 Guest Rooms B-l 1
Original Implementation: January 21, 1986
Last Revision: October 26, 1999 October23, 2001
The provisions of the policy on the Use of University Facilities govern the use of all buildings,
facilities, equipment, and grounds, hereafter referred to as facilities, under the control of Stephen
F. Austin State University. That policy provides that the University may establish additional
procedures for the reservation and use of specific facilities; therefore, the following provisions
apply to Hall 20 Guest Rooms.
Three guest rooms are available in Residence Hall 20 for use by individuals who are engaged in
University-related business/activities which require overnight lodging, or individuals who are
invited to the University by the President as official guests. Requests from University
departments for use of these rooms for their guests will be approved/disapproved according to
the two criteria listed below.
1. The guest must be one for whom the University, the sponsoring department in particular,
would pay lodging expenses if the guest rooms did not exist. (University departments requesting
use of the rooms should do so only when lodging is a normal, reimbursable travel expense to the
visitor. "Free lodging" should not be offered to individuals who are providing a
service/performance for the University for a specified fee when travel expenses, in addition to
the fee, were not a part of the contract or agreement.
2. The length of stay should not exceed three consecutive nights.
The guest rooms are located on the ground floor of Hall 20. Furnishings are hotel/motel style;
available rooms have either a king bed or twin beds. Guests have access to ice and vending
machines. Reserved parking is available in the small lot adjacent to Hall 20. University staff
provides daily custodial service.
Decisions regarding eligibility for use of these accommodations and reservations for the guest
rooms are made by the Housing Department, extension 5304 6302. Details and responsibilities of
the University department reserving guest rooms are given below.
1. The following information should be provided in a memo to the Housing Department,
from by-the originating department when calling to make a room reservation:
name of University guest;
date and time of arrival and departure;
name of University sponsor (see 2 below);
purpose of visit, i.e., job interview, performance, etc;
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copy of the contract between the University and the visitor
2. Each guest must have a University sponsor who serves as the contact person regarding
any change in arrival/departure or special needs. The sponsor is responsible for communicating
such information to the Housing Qf&eeDepartment, and for the pick-up and return of room keys
and the parking permit to the Housing Q&ieeDepartment. The sponsoring department will be
responsible for the replacement cost of keys that are not returned to the Housing
Qf&eeDepartment.
3. Guests may check into Hall 20 after 3 p.m. and check out time is 1 p.m.
Source of Authority: Director of Housing
Cross Reference: None
Contact for Reference: Housing Records CoordinatorDepartment Administrative Assistant
Forms: None
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Homer Bryce Stadium and William R. Johnson Coliseum B-12
Original Implementation: 1972
Last Revision: October 26, l999October 23, 2001
The provisions of the policy on the Use of University Facilities govern the use of all buildings,
facilities, equipment, and grounds, hereafter referred to as facilities, under the control of Stephen
F. Austin State University. That policy provides that the University may establish additional
procedures for the reservation and use of specific facilities; therefore, the following provisions
apply to Homer Bryce Stadium and William R. Johnson Coliseum.
Use of Homer Bryce Stadium or William R. Johnson Coliseum by persons other than the
University Athletic Department will be arranged through the Associate Athletic Director for
Internal Affairs Special Events Coordinator and approved by the Director of Athletics. Such
usage will be limited to events sponsored by University departments or recognized student
organizations conducting activities within their established role and scope. Some events may be
sponsored by the University, such as high school and University Interscholastic League events as
well as other athletic events, which are sanctioned by an official governing organization. Persons
or groups wishing to use either of these facilities should contact the Associate Athletic Director
for Internal Affairs Special Events Coordinator (in person or by phone) concerning the
availability of the facility and fee, if applicable. Questions regarding the use of these facilities for
camp/conference participants should be directed to the Coordinator of University Reservations,
located in the University Center. (See Camp and Conference Reservations policy.)
1. The Associate Athletic Director for Internal Affairs Special Events Coordinator will |
complete a facility use application.
2. The Associate Athletic Director for Internal Affairs Special Events Coordinator will |
assist University Departments and student organizations with coordination of University Police
Department and University Physical Plant services for upcoming events.
3. If a fee is required, a contract will be completed before the date of the event.
4. The William R. Johnson Coliseum marquee will be used to advertise only official
University events. Requests for messages on the marquee should be made to the Sports
Information Director Special Events Coordinator.
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Source of Authority: Board of Regents, President, Vice President for University Affairs
Cross Reference: None
Contact for Revision: Vice President for University Affairs
Forms: None
P22
Norton HPE Complex B-20
Original Implementation: Summer, 1975
Last Revision: October 26, \999October 23, 2001
The provisions of the policy for Use of University Facilities govern the use of all buildings,
facilities, equipment and grounds, hereinafter referred to as facilities, under the control of
Stephen F. Austin State University. That policy provides that the University may establish „
additional procedures for the reservation and use of specific facilities; therefore, the following
provisions apply to the Norton HPE complex.
The Lucille Norton HPE Complex is intended primarily for the use of SFASU students. The first
priority use is for instruction, the second priority is for organized intramurals, and the third for
recreation of students, faculty, and staff and fourth for summer camps with a building
maintenance fee attached.
University-sponsored groups may apply for use of the complex in accordance with the policy on
Use of University Facilities. Application for the use of the Complex and tennis courts shall be
made to the Chair of the Kinesiology and Health Science Department, and for other outside
recreational areas, to the Director of Intramurals. These request are normally honored provided
the before mentioned guidelines are met.
Outside groups may apply for use of the Complex in accordance with University regulations.
Area public schools are usually granted permission to use the tennis courts and, on rare occasion,
Shelton Gym, for district and/or regional playoffs. Requests other than these require
administrative approval by the respective vice president(s) and/or the President of the University.
The following are specific guidelines for the use of the Norton HPE Complex by faculty and
staff.
1. Faculty and staff I.D. card required to use facilities and/or check out equipment
2. No charge for use of facilities or pool by faculty or staff members; faculty/staff families have
access to pools at a cost of $20 and the tennis courts at no cost. There is no access to the complex
for faculty/staff families.
3. Family swim passes ($ 20) may be purchased at the Ticket Office and faculty/staff locker fee
($4 per semester) paid at the University Business Office.
4. Full time faculty and staff participation permitted in organized intramurals.
5. Racquetball courts available by reservation at the equipment room; individuals must reserve a
court in person (with I.D.); only one hour per week
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6. Indoor recreation areas open:
Monday — Thursday 3 p.m. to 10 p.m.
Friday 12 noon to 7 p.m.
Saturday 12 noon to 6 p.m.
Sunday 1 p.m. to 9 p.m.
Source of Authority: Board of Regents, President, Vice President for Academic Affairs, Vice
President for University Affairs
Cross Reference: Intramural Handbook
Contact for Revision: Chair of the Department of Kinesiology and Health Science; Director of
Intramurals
Forms: None
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Competitive/fes* Value Procurement C-7
Original Implementation: January, 1988
Last Revision: August 1, IQOOOctober 23, 2001
Stephen F. Austin State University purchases goods and services on a
value basis including 1) competitive bidding; 2) competitive sealed proposals; 3) catalog
purchase; 4) group purchasing; or 5) open market contractto the extent practicable.
Competitive procurement may include competitive bid, competitive negotiation, or any
other logally recognized and approved process, but shall generally be understood as
competitive bids.
Competitive bidding is defined as the process of inviting and obtaining bids from
competitive sources in response to terms and conditions of specifications. The General
Services Commission interprets competitive bidding to be a level of competition at which
two or more manufacturers' products will meet the specifications, terms and conditions of
LI IV U1U.
Competitive bids must be obtained from a minimum of three potential vendors, two of
which must be certified by the GSC as Historically Underutilized Businesses. The
Purchasing Department will utilize the GSC Centralized Master Bid List as a first
resource for selecting non-HUB potential vendors. The Purchasing Department must
document purchasing rationale in situations where in the required number of bids or HUB
vendors is not obtained or not obtainable.
The purchase of automated information systems products or services is to be conducted
through a negotiation process with GSC approved Qualified Information Systems
Vendors to secure the item or items which represents the 'best value' to the University.
Catalog procedure allows the determination of brand to be made prior to securing price
comparisons. Bidding is not allowed. Negotiations are to be conducted with a minimum
of three vendors, two of which must be certified by the GSC as Historically Underutilized
Businesses, for catalog purchases greater than $2,000. The Purchasing Department will
determine in each individual case whether negotiations will be conducted formally or
informallyr
In determining best value, the University shall consider:
1) the purchase price;
2) the reputation of the vendor and of the vendor s goods or services
3) the quality of the vendor s good or services;
4) the extent to which the goods or services meet the University s needs;
5) the vendor s past relationship with the University;
6) the impact on the ability of the University to comply with the laws and rules relating to
historically underutilized businesses and to the procurement of goods and services from
persons with disabilities;
7) the total long-term cost to the University of acquiring the vendor s goods or services;
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8) any other relevant factor that a private business entity would consider in selecting a
vendor; and
9) the use of material in construction or repair to real property that is not proprietary to
a single vendor unless the University provides written justification in the request for bids
for use of the unique material specified.
The following limits are established for competitive bidding and catalog purchase
solicitations:
a. $0 — up Procurement of goods and services from persons with disabilities (TIBH) must
be considered when using state funds
b. $0 - $5000 Printing — Requires2 bids when using state funds
c. $0 - $5000 All other products and services — Contract negotiation of best value
d. $5000.01 - $25,000 — Minimum 3 informal bids required; minimum 50% HUB vendors
including one woman-owned and one minority-owned
e. $25,000.01 - $49,999.99 — Minimum5 formal bids required; minimum 50% HUB
vendors including one woman-owned and one minority-owned; Texas Marketplace
posting required.
f $50,000 - $99,999.99 — MinimumS formal bids required; minimum 50% HUB vendors
including one woman-owned and one minority-owned; Board of Regents approval
required; Texas Marketplace posting required.
g. $100,000 and greater — Minimum 5 formal bids required; minimum 50% HUB vendors
including one woman-owned and one minority-owned; HUB Subcontracting Plan
required; Board of Regents approval required; Texas Marketplace posting required
The University may use the process established in Government Code, Title 10. Subtitle D.
Subchapter C. Section 2156 for the acquisition of goods and services by the competitive
sealed proposal process.
a. All competitive sealed proposals shall include HUB vendors of any gender and
ethnicity when identified as providing the good or service identified.
b. Texas Marketplace posting required for all procurement opportunities expected to
exceed $25,000.
c. All competitive sealed proposals expected to exceed $50,000 require Board of Regents
approval.
d. All competitive sealed proposals expected to exceed $100,000 require Board of
Regents approval and the submission of a HUB Subcontracting Plan.
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The University may purchase goods or services through group purchasing programs.
a. All group purchases exceeding $50,000 require Board of Regents approval
b. All group purchases exceeding $100,000 require Board of Regents approval
Emergency Purchases
An emergency purchase is defined as the purchase of goods or services that are so badly
needed that the agency will suffer financial or operational damage if they are not secured
immediately.
Orders less than $5000 are not considered emergencies.
Orders exceeding $5000 should be bid when sufficient time exists.
Orders exceeding $25,000 require Texas Marketplace posting.
An emergency is defined by the answer to the following questions:
a. What is the emergency and/or what caused the emergency?
b. What financial or operational damage will occur it needs are not satisfied
immediately?
c. Why could the needs not be anticipated so that proper procedures could be followed?
Bid Submission. Bid Opening, and Tabulation
a. Bid Submission
1. Prospective bidders may request specific bid invitations from the Purchasing
Department at any time prior to the bid opening;
2. A bidder may withdraw its bid by written request at any time prior to the bid opening
date and hour;
3. A bid received after the time and date established by the bid invitation is a late bid and
will not be considered;
4. A bid received which does not contain adequate bid identification information on the
outside of the envelope will be opened to obtain such information and will then be
processed as any other bid. If the incorrect information on the envelope causes the bid
not to be considered in making an award, the bid will be considered invalid and rejected;
5. Bids may be submitted by telefacsimile (fax). The telephone number for fax bid
submission will be identified in the solicitation; no other number may be used for bid
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submission. Bids submitted by fax need not be confirmed in writing, but must comply
with all legal requirements applicable to formal bids. If all or any portion of a bid
submitted by fax is received late, is illegible, or is otherwise rendered non-responsive due
to equipment failure or operator error, the bid or the applicable portion of the bid will
not be considered. The university shall not be liable for equipment failure or operator
error, nor will such failure or error require other bids to be rejected or the bid invitation
to be re-advertised.
6. Bids by telegram are not allowed;
7. An unsigned bid is not valid and will be disqualified;
8. A bidder or department may request, in person at the bid opening, that bids be read
aloud. No bid shall be required to be read aloud at any time other than during regular
working hours and days;
9. When formal bids are required, bids may not be taken or accepted by telephone;
10. If an error is discovered in a bid invitation, or agency departmental requirements
change prior to the opening of a bid, the Purchasing Department will transmit an
addendum correcting or changing the specifications to all bidders originally listed on the
transmission list for that bid invitation. Bids will not be rejected for failure to return the
addendum with the bid, if the change is noted on the bid or the product or service
specification would not be changed by the addendum;
b. Bid opening and tabulation.
1. All bid openings conducted by the Purchasing Department shall be open to the public.
2. Bid opening dates may be changed and bid openings rescheduled if bidders are
properly notified in advance of the opening date.
3. If a bid opening is canceled, all bids which are being held for opening will be returned
to the bidders.
4. All bid tabulation files are available for public inspection. Bid tabulations may be
reviewed by any interested person during regular working hours at the offices of the
Purchasing Department. Employees of the university are not required to give bid
tabulation information by telephone.
Stephen F. Austin State University adoptG the General Services Commission practice for
bid submission, bid opening and tabulation as outlined in Texas Administrative Code
113.5 1 through 113.5-4.
Source of Authority: Texas GoyernmontEducation Code, Title 10, Subtitle D, Chapters
51.9335(a) — (b)2151 through 217$ President; Vice President for Business Affairs
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Cross Reference: Ne&eltems Requiring Board of Regents Approval, Index D-20.5;
Historically Underutilized Businesses, Index C-I6.5
Contact for Revision: Director of Purchasing and Inventory
Forms: None
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Delegated Purchasing Authority C-10
Original Implementation: Unpublished
Last Revision: October 26, \999October 23, 2001
Stephen F. Austin State University adheres to a policy of centralized purchasing for the
purposes of:
L insuring compliance with state and federal laws, rules, and regulations;
2. protecting the University from unauthorized acquisitions of supplies, equipment and
services;
3. providing budgetary control and coordination;
4. insuring fair and ethical business practices; and
5. providing savings through consolidation of requirements, standardization of products
where appropriate, and competitive bidding.
The Purchasing Department, under supervision of the Director of Purchasing and
Inventory, has sole authority for the negotiation and purchase of all goods and services
for the University with the exception of contracts for construction and other matters
signed by the President and/or the Chair of the Board of Regents/ferns listed in Index D-
20.5 Items Requiring Board of Regents Approval and the following. Certain specific
delegations of this authority//?^/ exist under proper administrative approval. These
delegations arc as follows:
1. The Manager of the University Bookstore is authorized to purchase books and
other general merchandise for resale as required for efficient operation of the store.
2. The Director of the University Libraries is authorized to purchase books,
periodicals, journals, and other related materials needed to maintain University resource
material collections.
3. The Curator of the Stone Fort Museum is authorized to purchase general
merchandise for resale in the museum gift shop.
4. The Physical Plant is authorized to make purchases with pre-assigned requisition
numbers for completion by the Purchasing Office with the same number.
45. Account Administrators are authorized to make local purchases of items costing
$500 or less through the Local Purchase Authorization procedures. See Local Purchase
AuthorizationMethods of Purchase, Index C-20.A.
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6. Account Administrators are authorized to make on-line office supply purchases
with a requisition #, if a ProCard is not available for the account being used.
$7. Employees are authorized to make procurement card purchases of items costing
$2000 or less through the Procurement Card procedures. See Procurement Card,
C-44, Procurement Card.
8. Employees without Procurement Cards or access to LPA s may make purchases
approved by the Account Manager, and request reimbursement ONLY when other
purchase options are not possible or available.
9. Employees are authorized to provide to vendors authorized PO numbers issued by
the Purchasing office (telephone PO). In most cases the requisition must be entered and
approved on-line before the PO# is issued. When determined appropriate by the
Purchasing Office, the PO# may be issued without a requisition. In such cases, the
requisition must be entered on-line within 24 hours, and referencing the PO#.
10. Certain payments may be made by completing a voucher for submission to the
Controller s Office. See Purchase Voucher, Index C-31.
11. All other purchases are to be submitted as a formal request for the Purchasing
Department to secure a good or service. See Purchase Requisition, Index C-30.
All official correspondence other than that delegated above; i.e., bids, purchase orders,
correction, cancellations, etc. shall be issued by the Purchasing Department.
UNAUTHORIZED PURCHASES MADE OUTSIDE OF DELEGATED AUTHORITY
Unauthorized purchases, regardless of the dollar amount, present problems for the
Purchasing Department, Accounts Payable, vendors, and end-users. They create
unnecessary work. Also, the individual responsible for the unauthorized purchase may
be held personally liable for payment. Unauthorized purchases of any nature whatsoever
shall be a personal obligation of the individual making such purchases, and will be non-binding
on the University.
Any person responsible for initiating an unauthorized purchase (responsibility will be
determined by the Department Head, Dean, and/or Vice President) will be held
personally accountable until the transaction is resolved. Resolution options are:
A. To submit a letter signed by the individual, department head, dean, AND the Vice
President, which must include:
1. Description of the goods or services purchased;
2. Reason for making the purchase without proper authority/delegation; and
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3. Measures that will be taken to avoid recurrence of an unauthorized purchase in
thefuture.
B. To return goods to the vendor for full credit. The individual may be required to pay
restocking fees or other charges, if any.
C. To pay for the goods or services personally from own funds, NOT from University
funds.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Director of Purchasing and Inventory
Forms: Ne&eApproval of Unauthorized Commitment of University Funds
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Historically Underutilized Businesses C-16,5
Original Implementation: August 2, 1994
Last Revision: August 1, 2000October, 2001
In accordance with Texas Government Code, Title 10, Subtitle D, Chapter 2161, and 1 Texas
Administrative Code section 111.11 through 111.25?, Stephen F. Austin State University will
make a good faith effort to utilize Historically Underutilized Businesses (HUBs) in contracts for
construction, services, including professional and consulting services and commodities contracts.
The General Services Commission's (GSC)Texas Building and Procurement Commission
(TBPC) HUB Rules, 1 TAC 111.11-111.257 encourages the use of HUBs by implementing these
policies through race-ethnic-and gender-neutral means.
The Director of Purchasing and Inventory shall serve as the official HUB Coordinator. The
purpose of the HUB Program is to promote full and equal business opportunities for all
businesses in State contracting in accordance with the goals specified in the State of Texas
Disparity Study.
GOALS
GOAL #1
The University's specific goals have been adjusted to eliminate "overutilized" HUBs identified in
the State of Texas Disparity Study and are as follows.
Heavy Construction other than building contract .6%
Building construction including general contractors
and operative builders contracts 25.1 %
Special trade construction contracts 47.0%
Professional Services contracts 18.1%
Other Services contracts 33.0%
Commodities contracts 1.5%
A. Competitive^^/ value procurement opportunities over $25,000, but less than $4025,000
require at least three informal bids, including behalf from certified HUB vendors.
B. Competitive procurement opportunities involving catalog purchase negotiations over $2,000
require at least three solicitations from approved Qualified Information System Vendors,
including two from certified HUB vendors.
BG. Competitivoi?es/ value procurement opportunities over $4025,000 require at least threefive
formal bids, including behalf 'from certified HUB vendors.
CD. All competitivoFormfl/ best value procurement opportunities exceeding $10,000 will be
posted to the Purchasing Department web site.
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E. All competitive procurement opportunities exceeding $10,000 will be posted to the Texas
Marketplace unless the buyer determines that no benefit will be gained by the posting.
Z)F. AO-Best value procurement opportunities exceeding $25,000 will be posted to the Texas
Marketplace.
EG. AH-Z?es/ value procurement opportunities $100,000 and greater will require a HUB
Subcontracting Plan (HSP) to be submitted as a required by 1 TAC Section 111.14. See Goal #3.
GOAL #2
The University will pursue various forms of outreach to identify certified and non-certified HUB
vendors with which to develop a business relationship. Vendors will be advised of and/or
assisted with the State's certification process.
A. The University Purchasing Department will host a vendor fair at which vendors across the
state will be invited to participate. Vendors will be provided with information regarding how to
do business with the University, as well as information about the HUB certification process, and
other state rules and guidelines. The University campus, other state agencies, ISD's, and city and
county governments will be invited to attend and make procurement opportunities available.
B. The HUB Coordinator and/or Purchasing Department buyers will attend and participate in
other economic opportunity forums in the Houston, Dallas and Austin Metroplexes and East
Texas.
C. The University Purchasing Department will utilize the HUB directory provided by the
TBPCGSC on-line when selecting potential suppliers and subcontractors for commodities,
services, and construction contracts.
D. The HUB Coordinator will analyze expenditures after each reporting period and produce a
mail piece to target various groups, i.e. specific service vendors, vendors by city or county,
vendors by dollar amount, etc., and notify them of the State s HUB certification process if the
HUB Coordinator determines that a mail piece would be beneficial.
E. The University Purchasing Department will send a mail piece to all new Texas vendors added
to the FRS vendor database advising them of the State's HUB certification process.
GOAL #3
Stephen F. Austin State University will seek to contract with HUBs indirectly through
subcontracting opportunities in accordance with Texas Government Code, chapter 2161,
Subchapter F and Commission HUB Rules, 1 TAC Section 111.14.
A. All procurements $100,000 or greater will require the University to prepare the bid document
in accordance with thoincluding HUB Subcontracting Plan (HSP) requirements as developed by
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the HUB Coordinator. Potential bidders will be required to submit a HUB Subcontracting Plan
(HSP) as provided by the bid documents in order for the bid to receive consideration.
GOAL #4
The University will establish educational training for personnel making procurement decisions to
assure compliance with stated objectives.
A. The University Purchasing Department will publish a newsletter which will, from time to
time, include HUB information.
B. The University Purchasing Department will conduct training seminars for all campus
departments advising them of all current purchasing policies and procedures.
C. ProCard training will include an emphasis on the need to make small purchases from HUBs
and will include a list of HUB vendors for the most common purchases made with the ProCard.
D. Regular training for the use of the on-line requisition system will include an introduction of
general purchasing policies and guidelines. This introduction will include information regarding
the requirements to make a good faith effort to purchase from HUBs.
GOAL #5
The University will gather HUB data to comply with the reporting requirements of Texas
Government Code, Title 10, Subtitle D, Chapter 2161 and 1 Texas Administrative Code sections
111.11 through 111.25?.
Source of Authority: Vice President for Business Affairs
Cross Reference: Texas Government Code, Title 10, Subtitle D, Chapter 2161; and Texas
Administrative Code, sections 111.11 through 111281-
Contact for Revision: Director of Purchasing and Inventory/HUB Coordinator
Forms: None
P35
Methods of Purchase
Original Implementation: Unpublished
Last Revision: August 1, 2000
Departments have five options for securing goods and sendees for departmental use.
REQUISITION PURCHASES The department makes a formal request for the Purchasing
Department to secure a good or sendee. The Purchasing Department places the order with the
vendor. The department is responsible to follow the procedures outlined below.
TELEPHONE PURCHASE ORDER The department secures purchase authorization and a
purchase order number from the Purchasing Department. The department places the order with
the vendor. The department is responsible to follow the procedures outlined below.
EMERGENCY PURCHASESAn emergency purchase is defined as the purchase of goods or
services which are so badly needed that the agency will suffer financial or operational damage if
they arc not secured immediately. The lack of proper planning docs not constitute an emergency.
a. What is the emergency and/or what caused the emergency?
b. What financial or operational damage will occur if needs arc not satisfied immediately?
c. Why could the needs not be anticipated so that proper procedures could be followed?
LOCAL PURCHASE AUTHORIZATION The department makes a small dollar purchase
($500 or less) from a local area vendor. The department is responsible to comply with Policy
C20. A Local Purchase Authorization.
PROCUREMENT CARD PURCHASE The department makes a small dollar purchase ($2000
or less) using a University procurement card. The department is responsible to comply with
Policy C 11 Procurement Card.
VOUCHER PURCHASES Voucher purchases are allowed for only a limited number of goods
or services. The department is responsible to comply with Policy C31 Purchase Voucher.
REQUISITION PURCHASES *>c
Specific requests by a department to purchase goods or services begins with the completion of a
"Purchase Requisition" which must be approved by the account manager or his/her designee. See
Policy C 30 Purchase Requisition.
The purchase of highly technical items may require special assistance from the requisitioner. In
such cases it is the responsibility of the requisitioner to provide technical support in the
preparation of specifications and in the evaluation of bids. If bid review prior to award is
specifically desired, please so state on the "Purchase Requisition".
Requisition processing methods within the Purchasing Department differ depending upon source
of funds, dollar value, and the type of good or sendee being acquired. Requisitions will be
processed into purchase orders within one day to six weeks depending upon the processing
method required. See the Purchase Requisition Processing Methods below.
Some purchases require special approvals or processing due to their nature. (See Policy C 36
Special Purchases)
P36
TELEPHONE PURCHASE ORDERS
As an alternative to the normal requisition purchase method, departments may place the order
with the vendor. Before doing so, the department must call their buyer to secure purchase
authorization and a purchase order number. Once authorized, the department should place the
order with the vendor. The following conditions must be met to use this procedure:
a. The department must follow 'Catalog' procedures for the purchase of computing and
networking products, supplies and services or provide sufficient justification for bypassing
procedures. The buyer will advise of procedures and provide sources if needed.
b. The purchase must not be for goods or services available through State Contract (E&G
funds only).
c. The purchase must be of a dollar amount which does not require formal written bids, or
provide sufficient justification for bypassing procedures. See Emergency Purchase Guidelines
d. The department must follow informal bidding requirements for total order amounts of
$2000.01 to $10,000 or provide sufficient justification for bypassing procedures. See Emergency
Purchase Guidelines below. The buyer will advise of procedures and provide sources, if needed.
e. The department must secure two bids for printing regardless of the dollar amount (E&G
funds only).
The Phone Purchase Order may be secured in one of two ways.
1. On line Requisition Entry
a. The requisition must be entered on line and all approvals posted before calling the buyer.
b. Once approved, the buyer will verify the appropriateness of the purchase and secure a
purchase order number.
c. The department will place the order with the vendor.
1. Unless sufficient reason exists to have the delivery made directly to the department,
provide the vendor with the Central Receiving Address: 2121 Wilson Drive.
2. Tell the vendor to reference the purchase order number on shipping and billing.
3. If the vendor requires a hard copy prior to filling the order, the purchase requisition
must be forwarded to purchasing for handling through the Requisition Purchase process.
d. The department is responsible to immediately forward any quotations or price
comparisons received.
2. No Requisition
a. In extreme cases, the buyer may issue the purchase order number to the department
without a requisition in place. It is the department's responsibility to forward a purchase
requisition to the buyer promptly within 21 18 hours.
b. The purchase requisition should include a Confirmation Statement such as "Telephone
order placed (date) with (name of person), DO NOT DUPLICATE".
P37
EMERGENCY PURCHASES
An emergency purchase is defined as the purchase of goods or services which are so badly
needed that the agency will suffer financial or operational damage if they are not secured
immediately. The lack of proper planning does not constitute an emergency.
When an emergency purchase must be made, the following questions are to be answered in a
justification accompanying the "Purchase Requisition".
a. What is the emergency and/or what caused the emergency?
b. What financial or operational damage will occur if needs are not satisfied immediately?
c. Why could the needs not be anticipated so that proper procedures could be followed?
The requisition should be entered on line for emergency processing or the department may
follow telephone PO
procedures.
PURCHASE PROCESSING METHODS
1. CATALOG VENDOR PURCHASES
a. $0.00 $2000 Contract negotiation of best value
b. $2000.01—$100,000—Minimum 3 informal price comparisons required and mandatory
posting on the Texas Marketplace if over $25,000; minimum 2 prices required from HUBs.
c. OVER $100,000—Minimum 3 Formal price comparisons required, mandatory posting on
the Texas Marketplace, and mandatory HUB Subcontracting Requirements. (See Policy C 16.5
Historically Underutilized Businesses)
2. STATE CONTRACT PURCHASES No bid required at any cost; mandatory use on E&G
accounts. Call
Purchasing for exceptions.
3. GSC OPEN MARKET PURCHASE OF **PRODUCTS** Mandatory use on E&G accounts
for purchases
greater than $25,000.
A. DELEGATED PURCHASE OF **PRODUCTS**
a. $0.00 $2,000.00 Contract negotiation of best value (E&G funds only: printing requires 2
b. $2,000.01 $10,000.00 Minimum 3 informal bids required
Minimum two bids required from HUBs
c. $10,000.01 $25,000 Minimum 3 formal bido required
Minimum two bids required from HUBs
d. $25,000.0land greater
P38
E&G: Follow GSC Open Market procedures
Other Funds: Minimum 3 formal bids required
Minimum two bids required from HUBs
Mandatory posting on the Texas Marketplace
Mandatory HUB Subcontracting Plan Requirements for $100,000 and greater
5. DELEGATED PURCHASE OF **SERVICES**
a. $0.00 $2,000.00 Contract negotiation of best value
b. $2,000.01 $10,000.00 Minimum 3 informal bids required
Minimum two bids required from HUBs
c. $10,000.01 $25,000 Minimum 3 formal bids required
Minimum two bids required from HUBs
d. $25,000.01 $99,999.99
Minimum 3 formal bids required
Mandatory posting on the Texas Marketplace
e. $100,000 and greater—GSC review and approval of best value specifications prior to
advertisement (E&G), mandatory posting on the Texas Marketplace, and mandatory HUB
Subcontracting Plan Requirements.
6. EMERGENCY—All purchase procedures may be over ridden by a legally acceptable
Emergency situation, except for mandatory posting on the Texas Marketplace for emergency
purchases exceeding $25,000 and mandatory HUB Subcontracting Plan Requirements for
purchases $100.000 and greater.77*g lack of proper planning does not constitute an emergency.
a. What is the emergency and/or what caused the emergency?
b. What financial or operational damage will occur if needs are not satisfied immediately?
c. Why could the needs not be anticipated so that proper procedures could be followed?
Source of Authorityi Texas Government Code, Title 10, Subtitle D, Chapters 2151 through
2176; President; Vice President for Business Affairs
Cross Reference; None
Contact for Revision: Director of Purchasing and Inventory
Forms: Purchase Requisition, see index C 30; Local Purchase Authorization, see Index C 20.^
(available from the Purchasing Department)
P39
Prompt Payment to Vendors and Employees C-25.1
Original Implementation: April 21, 1998
Last Revision: NeaeOcfo&er 23, 2001
It is the intention of Stephen F. Austin State University to comply with the State s Prompt
Payment Act and make prompt payments to both vendors and employees. It is also the
intention of the University to process these payments using the most efficient means
available. Therefore, the Controller g Office will schedule and post due dates for
disbursement documents for both vendor payments and payroll transactions and adhere to
its posted schedule.
Payment to Vendors
Three requirements must be met before a disbursement can be made to a vendor:
1. There must be an approved order for goods or services that has been
signed/authorized by the account manager or his designee. Under certain
circumstances this requirement may be waived. See Policy C 31 regarding
Purchase Vouchers.
2. The goods or services must have been received. Most goods are delivered either
directly to a department or via the Purchasing Department; however,
acknowledging the receipt of mek goods or services is ultimately the
responsibility of the department which placed the order.
3. The vendor must provide an itemized invoice which should be sent to Accounts
Payable. If an invoice is received by the department, it should be date stamped
and immediately forwarded to Accounts Payable.
The Controller s Office is responsible for processing payments in a manner which
ensures compliance with the Prompt Payment Act once these three requirements have
been met. Interest must be paid to a vendor for payment made after 30 days. Such
interest payment will be charged to the department if it caused the late payment.
Payment to Employees
There are two requirements must be met before for producing a payroll disbursements
can be made to an employee:
1. The employee must be approved via a signed Personnel Authorization Request (or
a signed Student Employment Card if the employee is an undergraduate student
assistant).
2. There must be appropriate documentation that the employee performed services
during the pay period. This usually requires employee time-keeping records and
may include the data entry of a specified number of hours for hourly-paid
employees.
The Controller s Office will process payroll checks for employees in compliance with the
State of Texas payroll calendar^ or as approved by the University president.
P40
When payment has been delayed because a university department did not meet the above
requirements and/or i/f a university department requests the Controller s Office to
process a payment outside its normal operating procedures for any reason, the department
shall be assessed a Special Processing Fee of $50. If a university department requests the
Controller s Office to process a payment outside its normal operating procedures for any
reason, the requesting department shall be assessed a Special Processing Fee of $50.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Controller
Forms: None
P41
Purchase Requisition C-30
Original Implementation: Unpublished
Last Revision: January 25, 2000October 23, 2001
Specific requests by a department to purchase goods or services begins with the
completion of a "Purchase Requisition" that must be approved by the account manager
or his/her designee.
The purchase of highly technical items may require special assistance from the end user.
In such cases it is the responsibility of the end user to provide technical support in the
preparation of specifications and in the evaluation of bids. If bid review prior to award
is specifically desired, please state on the "Purchase Requisition".
Items that can be purchased from the same vendor should be grouped on the same
requisition.
Requisition processing within the Purchasing Department differs depending upon source
off unds, dollar value, and the type of good or service being acquired. Requisitions will
usually be processed into purchase orders within one day to six weeks. See Policy C-79
Best Value Procurement.
The "Purchase Requisition" may be generated in one of two ways:
1. On-line Requisitions are entered through the FRS System following the
guidelines outlined in the FRS Purchasing Software Manual. Contact the Purchasing
Office for more information if you do not currently have this access. Copies of the
manual and on-line registration for training are available at
www, sfasu. edu/purchasing/training. html.
2. Hard-copy Requisitions are available through the m&ITS Forms Server at the
following URL: on tho SFA Home
9&gbzhttps://apache.SFASU.EDU/sfaJ°orms/purchase_req.shtml. Obtain appropriate
signatures. Mail or fax the completed requisition to Purchasing.
URL: www.sfasu.edu
Click on: University
Click on: Business Affairs
Click on: SFA Business Forms
Click on: Forms to Fill Out
Click on: Purchase Requisition
Fill in the blanks and click Submit at the bottom of the screen. A completed
form will bo generated and may be printed. If you prefer to print a blank form and-type^
do not fill in the blanks. Click Submit at the bottom of the screen; a completed blank
form will be generated and may be printed. Mail or fax tho completed requisition to
Purchasing.
P42
Items which can be purchased from the same vendor should be grouped on the same
requisition; if from different vendors, the items should be on different requisitions.
If a second page is required to list all items being ordered, you may create another
"Purchase Requisition" noting that it is a continuation or attach additional pages noted as
a continuation.
Source Of Authority: Texas Government Codo, Title 10, Subtitle D, Chapters 2151
through 2176; President; Vice President for Business Affairs
Cross Reference: Policy C-7, Best Value Procurement
Contact For Revision: Director of Purchasing and Inventory
Forms: Nono/rS Forms Server:
https://apache.SFASU.EDU/sfa forms/purchase req.shtml: Best Value Procurement
P43
Purchase Voucher C-31
Original Implementation: September^ 1990
Last Revision: April 21, 1998 October 23, 2001
Normally, purchases for goods or services which are ordered, delivered and then invoiced
by the vendor. These purchases are should be acquired by submitting a purchase
requisition to the Purchasing Department to assure that proper purchasing procedures
have been followed. (See Policy C 20, Methods of PuvchastDelegated Purchasing
Authority, Policy C-10.) Nominal purchases of goods less than $500 may be made from
local vendors using the LPA process described in Policy C 20.A. Occasionally purchases
&r-Some purchasesexptnditures, however, are made which do not involve ordering goods
or waiting for a vendor's invoice. These transactions should be are initiated on a
purchase voucher. -Purchase vouchers should be used for the following:
1. Occasional use of oOvernight mail package services (See Express Mail Services,
Policy F-ll) (The State of Texas contract for overnight package service represents the
best rates. Contact the Purchasing Department to set up an account with the current
contractor. If these services are used often, the account manager should enter a purchase
requisition to encumber the funds at the beginning of the year.)
2. Membership fees and dues (not including a subscription)
3. Licensing fees (except software licensing fees)
43. Notary bonds
54. Refunds of fees
6&. Postage
76. Prepayment of registration fees for business conferences, workshops and seminars
#?. Settlement agreements
9%. All purchases from agency accounts
The Purchase Voucher Form may be accessed online at purchase voucher form. It may
be completed online, or printed out and completed manually. Once completed, the hard
copy must be signed by the account manager, and forwarded with supporting
documentation to the Controller's Office, Box 13035, for processing.
The Purchase Voucher form may be downloaded from the SFASU web site and
completed by the department initiating the payment. The completed Purchase Voucher
form must include the payee's name, address and tax identification number. It should
indicate the account to be charged. It must be signed by the account manager or his
designee and accompanied by appropriate supporting documents and forwarded to
Accounts Payable, Box 6085, for processing.
P44
Payments which have been inappropriately initiated on a purchase voucher will be
returned to the originating department for proper processing through the Purchasing
Department.
Source of Authority: Vice President for Business Affairs
Cross Reference: NeaeDelegated Purchasing Authority, Policy C-10; Express Mail
Services, Policy F-11
Contact for Revision: Controller; Director of Purchasing and Inventory
Forms: Purchase Requisition; SFASU Purchase Voucher
Questions regarding the preparation of forms mentioned in this policy should be directed
to the Purchasing Department or the Controller's Office.
P45
Purchasing Authority
Original Implementation: Unpublished
Last Revision: October, 1999
Stephen F. Austin State University adheres to a policy of centralized purchasing for the
purposes of:
1. insuring compliance with state and federal laws, rules, and regulations;
2. protecting the University from unauthorized acquisitions of supplies, equipment and
services;
3. providing budgetary control and coordination;
4. insuring fair and ethical business practices; and
5. providing savings through consolidation of requirements, standardization of products
where appropriate, and competitive bidding.
All official correspondence with the General Services Commission and vendors regarding
requisitions, bids, and purchase orders shall be issued by the Purchasing Department.
In no case should any department attempt to modify an order through direct contact with
the vendor or the General Sendees Commission. The Purchasing Department has sole
responsibility for canceling or correcting purchase orders.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact for Revision! Director of Purchasing and Inventory
Forms* None
P46
Purchasing Ethics and Confidentiality C-33
Original Implementation: Unpublished
Last Revision: April 20, \999October 23, 2001
Stephen F. Austin State University follows a code of purchasing ethics which prohibits the
solicitation or acceptance of gifts or gratuities which might tend to influence purchasing decisions.
It shall be a breach of ethical standards for any employee or former employee to knowingly use
confidential information for actual or anticipated personal gain, or for the actual or anticipated
gain of any other pQrson.Credibility and public confidence are vital throughout the purchasing
and contracting process. If any involved party displays a lack of honesty, integrity or openness\
the entire program is injured. Even the shadow of doubt can be as harmful as the conduct itself
Any SFA employee involved in any form of procurement or the procurement process may not:
•participate in work on a contract by taking action as an employee through decision, approval
disapproval recommendation, giving advice, investigation or similar action knowing that the
employee, or member of their immediate family has an actual or potential financial interest in the
contract, including prospective employment;
• solicit or accept gifts or gratuities which might tend to influence purchasing decisions;
• be employed by, or agree to work for, a vendor or potential vendor;
• knowingly disclose confidential information for actual or anticipated personal gain, or for the
actual or anticipated gain of another person.
When an actual or potential violation of any of these standards is discovered, the person involved
shall promptly file a written statement concerning the matter with an appropriate supervisor. The
person may also request written instructions and disposition of the matter.
If an actual violation occurs or is not disclosed and remedied, the employee involved may be
either reprimanded, suspended, or dismissed. The vendor or potential vendor may be barred
from receiving future contracts and/or have an existing contract canceled.
If not related to a particular transaction, University employees may accept from vendors and
others: (1) unsolicited advertising or promotional material such as pens, pencils, scratch pads,
and calendars; (2) occasional business lunches or food and refreshments of insignificant value;
and (3) other items of nominal or minor value (i.e., a box of candy or fruitcake, etc.) that are
merely tokens of appreciation.
Purchasing professionals have the right under law to have any ethics question reviewed and
decided by the State Ethics Commission. If you wish to learn whether a specific action violates the
ethics rules, please contact the State Ethics Commission, 1101 Camino La Costa, Austin, Texas
78752 or call them at 1-800-325-8506.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Director of Purchasing and Inventory
Forms: None
P47
Request to Establish an Account C-34
Original Implementation: Unpublished
Last Revision: July 14, 190 Wctober 23, 2001
Requests to establish a new account must be submitted on the "Request to Establish an
Account" form. This form originates in the requesting department and is submitted
through appropriate division channels for approval. The request is submitted to the
Director of Financial Services after division approval. The Director of Financial Services
may approve the request or obtain the approval of the Vice President for Business
Affairs, establish the account, or forward the request to the Controller to approve and
establish the account. Requests for expenditure accounts must include a detailed budget.
No account will be established until funding for the account is available. No funds will be
obligated or expended until the account is established.
The office that assigns the account number will notify the account manager when the
account is ready for use.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Director of Financial Services
Forms: Request to Establish an Account (available in University Printing Services, the
Controller s Office and the Director of Financial Services Office)
P48
Property Inventory and Management C-42
Original Implementation: September 28, 1996
Last Revision: ApriUQOctober 23, 2001
Centralized property management and control is performed by the Purchasing and
Inventory Department. The Director of Purchasing and Inventory and the Property
Managers are responsible for the overall management of University equipment,
maintenance and control of centralized inventory records, and disposition of surplus,
salvage and scrap. (See Property Transfer and Disposal Policy B-24). Property acquired
under Federal or State grants and contracts is inventoried and maintained according to the
same guidelines of the University's centralized property management and control
described herein.
In accordance with Texas Government Code Ann. Sec. 403.271 (a) through 403.278,
Stephen F. Austin State University will comply with the State Property Accounting
Policies and practitioner's standards as outlined in the State Property Accounting Policy
and Procedures Manual. Stephen F. Austin State University shall be certified as an
internal agency.
PROPERTY DEFINITIONS
Items are added to the SPA centralized inventory records at the time of acquisition and
are carried in the system at original cost value until disposed of through surplus. The
Property Manager is responsible for assignment and control of inventory numbers.
Inventory control tags are normally applied by Central Receiving prior to delivery or by
property office representatives after delivery. As outlined in the State Property
Accounting (SPA) Policy and Procedure Manual, property will be added to centralized
inventory records as follows:
Capitalized Equipment
All equipment with a useful life of greater than one year and a value of greater than
$+5000 or more
Controlled Equipment
All equipment with a useful life of greater than one year and a value greater than $500 in
the following commodity groups:
fax machines, telecopiers
stereo systems
cameras, video cameras
TV/VCR camcorders/laserdisk player
balance
centrifuge
incubators and accessories
P49
microscopes and accessories
oscilloscopes
microcomputers, servers and laptops
printers
All equipment with a useful life of greater than one year and any value in the following
commodity groups:
firearms of any type
University Controlled Equipment
The Property Manager has determined that the following items will be added to
centralized inventory records with a useful life of greater than one year and at any value:
microcomputers, servers and laptops
monitors
printers
additional item(s) that the department head feels may be subject to a high risk of theft
(requires Property Manager approval)
PROPERTY RESPONSIBILITY
The President delegates responsibility for the custody and care of state property to the
Property Managers and the Department Heads. The Property Managers shall perform
updates and make all additions, deletions and value adjustments to inventory records. The
department heads are to exercise proper care and control over all assets for which he/she
is responsible and report needed or desired adjustments to the Property Managers in a
timely manner.
PROPERTY RESPONSIBILITY WITH CHANGE IN DEPARTMENT HEAD
Out-Going Department Head
When there is an administrative change in department heads, the out-going department
head (interim or permanent) must request from the Property Manager a current list of
inventory items for which he/she is accountable. Verification of all items must be
completed and the Change in Department Head form signed by the out-going department
head within 30 days prior to the individual s last day. Verification of property includes
documenting that all items are accounted for and in good condition.
In-Coming Department Head
The incoming department head (interim or permanent) must request from the Property
Manager a current list of inventory items for which he/she will be accountable.
Verification of all items must be completed and the Change In Department Head form
signed by the incoming department head within 30 days of the individual s first day.
P50
Verification of property includes documenting that all items are accounted for and in
good condition.
PROPERTY MAINTENANCE AND VALIDATION
Each department head is to exercise care and control over the assets for which he/she is
responsible. Property should be monitored on a perpetual basis. Location changes are to
be reported to the Property Manager as they take place. Transfers to surplus or other
departments must have prior approval of the Property Manager. (See Property Transfer
and Disposal Policy B-24) Missing or Stolen Property must be reported immediately.
Annual Physical Inventory Audit
To validate the accuracy of property records, an Annual Physical Inventory Audit is
conducted February through April of each year. During this Annual Physical Inventory
Audit each department head is responsible to physically count and verify by tag number
and room location all items on the official departmental inventory. Each item on the
report must be physically marked showing verification of the item and its location or
documented as to the reasons for not being verified. Responses will be due from
custodian departments within 45 days. The annual property report is due to SPA 45 days
from the department due date. Each department head shall sign an Annual Inventory
Audit Receipt and return it to the Property Manager along with a documented copy of the
departmental inventory. The receipt will include the following statement:
"I understand that I am under financial liability for loss or damage to this (these) item(s)
if the loss or damage results from my negligence, intentional act, or failure to exercise
reasonable care, safeguard, maintenance, or servicing."
Spot-Check Validation
Property validation spot-checks will be conducted by Property personnel in a routine
fashion to allow independent verification. Other spot-checks will be performed when
necessary. Spot-checks will not be performed during annual inventory (January April).
Monthly Transaction Statements
Transaction statements listing all a

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Stephen F. Austin State University Minutes of the Board of Regents Nacogdoches, Texas October 23,2001 Volume 178 TABLE OF CONTENTS Page 02-01 Selection of 3D International as Architect, and Kingham Construction as Construction Manager for Human Services/Telecommunications Building .... 1 02-02 Approval of Consent Agenda Items 1 Approval of July 17,2001 and August 15,2001 Minutes 1 Faculty and Staff Appointments for 2001-2002 1 Changes of Status 4 Retirement 4 Underenrolled Classes 4 Declining Balance Program 6 Resolution to Reimburse Expenditures with Proceeds of Future Debt 6 Purchase of Water Sample Testing Services 6 Purchase of Equipment for Office of Instructional Technology TIF Grant... 6 Purchase of Equipment for Steen Library TIF Grant 6 Purchase of Equipment for Forestry Analytical Laboratory/Greenhouse 6 Purchase of ImageNow Document Imaging System 7 Vehicle Replacements 7 Energy-Related Contracts 7 Credit Card Merchant Service Fees Agreement 7 Concrete Contract 7 Notice of Redemption, Board of Regents of Stephen F. Austin State University Consolidated University Refunding Bonds, Series 1991A and Series 1991B 8 University Mainframe Computing System 8 Facade - Art Center at the Opera House 8 Residence Hall Fire Safety 8 Natural Gas Contract 8 Rusk and HPE Building Restorations 8 Campus Sidewalk Repair 8 Electric Service 8 East College Cafeteria Air Handlers 9 Antenna Space Lease 9 Coordinating Board Approval of Tuition Revenue Bond Projects 9 Arthur Temple College of Forestry Front Entrance 9 Policy Revisions 9 Selection of University Marketing Firm, Kolar Advertising and Marketing 9 02-03 Appointment of Marc Cossich as Chief of University Police 9 Reports 9 Chair, Faculty Senate President, Student Government Association President Appendix No. 1 - Resolution to Reimburse Expenditures with Proceeds of Future Debt 11 Appendix No. 2 - Notice of Redemption 12 Appendix No. 3 - Budget Changes 16 Appendix No. 4 - Policy Revisions 17 A-12 Copyrighted Works Reproduction PI A-34 Off-Campus Credit Classes P8 A-35.1 Oral English Proficiency Exam PI 1 A-60 File Maintenance for Faculty Personnel Files P17 B-l 1 Hall 20 Guest Rooms P19 B-12 Homer Bryce Stadium P21 B-20 Norton HPE Complex P23 C-7 Best Value Procurement P25 C-10 Delegated Purchasing Authority P30 C-16.5 Historically Underutilitzed Businesses P33 C-20 Methods of Purchase P36 C-25.1 Prompt Payment to Vendors and Employees P40 C-30 Purchase Requisition P41 C-31 Purchase Voucher P44 C-32 Purchasing Authority P46 C-33 Purchasing Ethics and Confidentiality P47 C-34 Request to Establish an Account P48 C-42 Property Inventory Management P49 C-46 Reporting Fiscal Misconduct P55 C-48 Vendor Warrant Hold Verification P59 C-49 Travel P66 D-29 Safe and Vault Combinations P76 D-36 Training and Certification P77 E-9 Compensation in Excess of Base Salary P80 E-ll Discipline and Discharge P82 E-16 Employee Enrolling for Courses P88 E-27N Hiring of Non-Academic Personnel P89 E-29A Leave of Absence Faculty P91 E-30N Leave of Absence (Non-Academic) P97 E-32N Longevity Pay/Hazardous Duty Pay P103 E-33.1 New Employee Orientation P104 E-35 Outside Employment P105 E-46 Discrimination Complaints/Sexual Harassment P107 E-49 Temporary Employment PI 13 E-53 Vacation Leave PI 15 E-55 Workers Compensation Coverage PI 17 E-58 Family and Medical Leave PI 18 E-60 Selective Service Registration P123 E-62 Return to Work P125 F-6 Central Receiving P127 F-28 Student Service Fee Allocations P129 F-35 Vendor Protests P130 New Student Travel P133 MINUTES OF THE MEETING BOARD OF REGENTS STEPHEN F. AUSTIN STATE UNIVERSITY NACOGDOCHES, TEXAS OCTOBER 23, 2001 The meeting was called to order at 9:00 a.m. by Chair Mike Enoch. Board members present in Room 307: Penny Butler, Margarita de la Garza Grahm, Kenneth James, Mike Enoch, Gary Lopez, Susan Roberds, Mike Wilhite and Fred Wulf. Absent: Lyn Stevens. Others present in Board Room 307: Tito Guerrero, Roland Smith, Janelle Ashley, Baker Pattillo, Yvette Clark, and other SFA administrators, staff, and visitors. 02-01 Upon motion of Regent Wilhite, seconded by Regent Butler, with all members voting aye, it was ordered that 3D International be the architectural firm and J. E. Kingham Construction Company be the construction manager for the Human Services/Telecommu nications Building. J. E. Kingham Construction Company was approved for other miscellaneous projects not requiring Coordinating Board approval for a two-year period beginning September 1, 2001 through August 31, 2003. Upon successful negotiation of contracts, the president is authorized to sign the appropriate documents. 02-02 Upon motion of Regent Roberds, seconded by Regent Enoch, with all members voting aye, the following consent agenda items were approved: Approval of minutes of July 17, 2001 and August 15, 2001 Faculty and Staff Appointments for 2001-2002 1. Communication Ms. Jessica Green, Lecturer, M.A. (Stephen F. Austin), at a salary of $23,000 for 100% time, for nine months, effective September 1, 2001. 2. Computer Science Ms. Cherry Wahsheh, Lecturer, M.S. (Stephen F. Austin), at a salary of $30,000 for 100% time, for nine months, effective September 1, 2001. 3. Elementary Education Ms. Lysa Gaston, Instructor, M.E. (Stephen F. Austin), at a salary of $41,000 for 100% time, for nine months, effective September 1, 2001. 4. English and Philosophy Ms. Catherine A. Mitchell, Visiting Lecturer, M.A. (University of Texas at Dallas), at a salary of $25,000 for 100% time, for nine months, effective September 1,2001. Dr. Charles L. Padron, Assistant Professor, Ph.D. (Vanderbilt University), at a salary of $34,000 for 100% time, for nine months, effective September 1, 2001. 5. History Dr. Carol D. Hammond, Visiting Assistant Professor, Ph.D. (University of North Texas), at a salary of $31,000 for 100% time, for nine months, effective September 1,2001. 6. Human Sciences Mr. Melih Madanoglu, Instructor, M.S. (Oklahoma State University), at a salary of $30,000 for 100% time, for nine months, effective September 1, 2001. 7. Human Services Ms. Shelia Dyer, Lecturer, B.A. (East Central State University), at a salary of $35,000 for 100% time, for nine months, effective September 1, 2001. Ms. Peggy B. Gill, Assistant Professor, Ed.D. (Stephen F. Austin), at a salary of $40,000 for 100% time, for nine months, effective September 1, 2001. Dr. Janice E. Stalling, Associate Professor, Ed.D. (University of South Dakota), at a salary of $45,000 for 100% time, for nine months, effective September 1, 2001. 8. Kinesiology and Health Sciences Mr. David A. Goodman, Lecturer, M.Ed. (Stephen F. Austin), at a salary of $36,307 for 100% time, for nine months, effective September 1, 2001. 9. Mathematics and Statistics Mr. Eric J. Oslund, Lecturer, M.S. (Stephen F. Austin), at a salary of $31,000 for 100% time for nine months, effective September 1, 2001. 10. Music Mr. Paul R. Piersall, Visiting Instructor, M.M. (Southern Methodist University), at a salary of $32,000 for 100% time, for nine months, effective September 1, 2001. 11. Nursing Mr. Bradley J. Manuel, Clinical Instructor, M.S.N. (University of Texas), at a salary of $40,000 for 100% time, for nine months, effective September 1, 2001. 12. Political Science Dr. Jeffery S. Clark, Visiting Assistant Professor, J.D. (Texas Tech Law School), at a salary of $30,000 for 100% time for nine months, effective September 1, 2001. Dr. Kristopher D. White, Visiting Assistant Professor, Ph.D. (University of Connecticut), at a salary of $32,000 for 100% time for nine months, effective September 1,2001. 13. Psychology Dr. William S. Rogers, Visiting Assistant Professor, Ph.D. (Texas A&M University), at a salary of $31,000 for 100% time for nine months, effective September 1,2001. 14. Secondary Education Dr. Fred M. Zachary, Associate Professor, Ed.D. (East Texas State University), at a salary of $52,000 for 100% time for nine months, effective September 1, 2001. 15. Social Work Mr. H. Stephen Cooper, Lecturer, M.S.W. (Stephen F. Austin), at a salary of $33,000 for 100% time for nine months, effective September 1, 2001. 16. Sociology Dr. Swati Shirwadkar, Visiting Professor for Diversity Studies, Ph.D. (Pune University — India), at a salary of $45,000 for 100% time for four and one-half months, effective January 1, 2002. 17. Theatre Ms. Angela Bacarisse, Assistant Professor, M.F.A. (Memphis State University), at a salary of $38,500 for 100% time for nine months, effective September 1, 2001. Dr. Richard C. Jones, Assistant Professor, Ph.D. (University of Kansas), at a salary of $38,500 for 100% time for nine months, effective September 1, 2001. Ms. Kimberly C. Wagner, Assistant Professor, M.F.A. (Purdue University), at a salary of $38,500 for 100% time for nine months, effective September 1, 2001. Ms. Shari B. Watterston, Lecturer, M.A. (Stephen F. Austin), at a salary of $32,000 for 100% time for nine months, effective September 1, 2001. 18. Athletics Ms. Monica Armendarez, Assistant Softball Coach, at a salary of $19,000 for 75% time for 10.5 months, effective September 1, 2001 Ms. Ta Azar Bingham, Assistant Track Coach, at a salary of $30,000 for 100% time for 10.5 months, effective September 1, 2001. Mr. Jerrell Mark Bradley, Assistant Football Coach and Instructor, at a salary of $52,041 for 100% time for 10.5 months, effective July 17, 2001. Mr. James Dixon, Assistant Sports Information Director, at a salary of $27,500 for 100% time for 12 months, effective July 23, 2001. 19. Auxiliary Services Mr. Daniel C. Duplechian, Programmer/Analyst I, at a salary of $27,185 for 100% time for 12 months, effective August 8, 2001. 20. Intramurals Mr. Joe Rabago, Intramural Supervisor, at a salary of $20,954 for 100% time for 9 months, effective September 4, 2001. 21. Multicultural Center Ms. Comelita Williams, Coordinator of the Multicultural Center, at a salary of $35,550 for 100% time for 12 months, effective September 5,2001. Changes of Status 1. Accounting Dr. Jack Ethridge, from Chair and Professor at a salary of $90,409 for 100% time for eleven months, to Professor at a salary of $73,971 for 100% time for nine months, effective July 31, 2002. 2. Library Ms. Karen H. Wielhorski, from Librarian III, Head of Reference at a salary of $68,444 for 100% time for twelve months to Associate Director for Information Services and Librarian III at a salary of $75,000 for 100% time for twelve months, effective September 1, 2001. 3. Health Clinic Ms. Julia Farrell, from Head Nurse, at a salary of $41,750 for 100% time for 12 months, to Head Nurse, at a salary of $36,531 for 100% time for 10.5 months, effective September 1, 2001. Retirement 1. Forestry Dr. R. Montague Whiting, effective January 31, 2002. Underenrolled Classes Fall 2001 1. AGR 481.001 — Methods of Teaching Agr. Sciences in the Secondary School Enrolled: 8 Maintain sequence 2. BIO 420.001—Virology Enrolled: 9 Maintain sequence 3. BIO 555.001 — Biological Ultrastructure Enrolled: 4 Maintain sequence 4. ELE 351.004 — EC-4 Learners: Plan Instruc. & the Classroom Environment Enrolled: 8 Maintain sequence 5. ELE 352.004 — EC-4 Learners: Implementing Instruc. & Professionalism Enrolled: 8 Maintain sequence 6. ENV 349.001 — Environmental Soil Science Enrolled: 7 Maintain sequence 7. FOR 305.001 — Wildlife Techniques Enrolled: 8 Maintain sequence 8. FOR 317.001 — Forest Biometrics 11 Enrolled: 9 Maintain sequence/graduating student 9. FOR 451.001 — Management of Outdoor Recreation Areas Enrolled: 9 Maintain sequence 10. HRT 416.001 — Plant Propogation Enrolled: 7 Maintain sequence 11. NUR 320.002 — Individuals in Developmental Crisis Enrolled: 8 Maintain sequence 12. NUR 414.002 — Families in Crisis Enrolled: 9 Maintain sequence 13. NUR 415.002 — Leadership in Nursing Enrolled: 8 Maintain sequence 14. NUR 416.002 — Systems Health Protection Enrolled: 6 Maintain sequence 15. NUR 417.002 — Family Self-Care in Situational Crisis Enrolled: 9 Maintain sequence 16. NUR 423.002 — Nursing Process Practicum Enrolled: 6 Maintain sequence 17. PHY 132.001 — Electricity, Sound & Light Enrolled: 9 Maintain sequence 18. PHY 431.001 — Introduction to Quantum Mechanics Enrolled: 9 Maintain sequence/graduating student 19. SED 460.002 — Developing Learner-Centered Instruction And Assessment Enrolled: 7 Maintain sequence 20. SED 578.021 — Seminar Enrolled: 1 Maintain sequence/graduating student 21. STA 525.001 — Applied Nonparametric Statistics Enrolled: 4 Maintain sequence Declining Balance Program It was ordered that that the University be permitted to proceed with the investigation of the expanded Jack Bucks declining balance program, and that the President be authorized to sign necessary contracts to implement the program, pending a review of the program and agreements by the General Counsel. Resolution to Reimburse Expenditures with Proceeds of Future Debt It was ordered that the Resolution to Reimburse Expenditures with Proceeds of Future Debt be approved as shown in Appendix No. 1. Purchase of Water Sample Testing Services It was ordered that the Board of Regents approve the purchase of necessary water samples generated by the Alto Watershed Project and funded by the College of Forestry, Center for Applied Studies in Forestry, Forest Resources Institute, Temple-Inland Inc., and National Council for the Paper Industry for Air and Stream Improvement, at a cost not to exceed $106,000. Purchase of Equipment for Office of Instructional Technology TIF Grant It was ordered that the purchase of equipment required of the HE3 Grant be approved, not to exceed $375,875. The source of funds is the Higher Education III (HE3) Grant. Purchase of Equipment for Steen Library TIF Grant It was ordered that the purchase of approximately 195 computers at a cost not to exceed $301,650 be approved. Source of funds is the TIF Grant. Purchases of Equipment for Forestry Analytical Laboratory/Greenhouse It was ordered that approval be given for the purchase of the following equipment for the newly renovated Forestry Analytical Laboratory/Greenhouse facility, and that the President be authorized to sign the required purchase orders. : 1. Growth Chambers. Cost: 3@ $55,000 each $165,000 Source of Funds: T.L.L. Temple Foundation Grant, Mclntire-Stennis Formula Funds, and Instructional Capital Funds 2. Carbon-Nitrogen Analyzer Cost: 1 Unit @ $78,000 $78,000 Source of Funds: T.L.L. Temple Foundation Grant 3. Time Domain Reflectrometer (TDR) Environmental Sensors for measuring in-situ soil moisture. Cost: 8 Units® $12,000 each $96,000 Source of Funds: T.L.L. Temple Foundation Grant 4. Atomic Absorption Spectrophotometer Cost 1 Unit @ $67,000 $67,000 Source of Funds: T.L.L. Temple Foundation Grant 5. Laboratory Benches, Casework and Furnishings Cost: Laboratory Casework $77,096 Source of Funds: T.L.L. Temple Foundation Grant Purchase of ImageNow Document Imaging System It was ordered that the purchase of an ImageNow Document Imaging System be approved at a cost not to exceed $100,000 and that the President be authorized to sign the required purchase order. Vehicle Replacements It was ordered that Physical Plant be authorized to purchase five replacement vehicles and that the President be authorized to sign the purchase order. Purchase through the FY 2002 state contract. FY 2002 HEAF funds not to exceed $100,000 with any excess provided by Physical Plant O&M funds. Energy-Related Performance Contracts It was ordered that the University be authorized to consider proposals for energy-related performance contracts. Any proposal considered acceptable and to the advantage of the University will be brought before the Board of Regents for its consideration. Credit Card Merchant Service Fees Agreement It was ordered that the University be authorized to proceed with solicitations for Visa/Mastercard, Discover, and American Express credit card processing services for the initial period of December 1, 2001 through November 30, 2002, with four annual renewals, subject to administrative approval and that the President be authorized to sign the contract. Concrete Contract It was ordered that an award to Cox Concrete Contractors, Inc. be approved for a blanket contract for minor improvements of $10,000 or less involving concrete site repair, concrete new construction and other associated minor alterations. The contract has been established for one year, with one annual renewal, subject to administrative approval. The President has signed the contract. Notice of Redemption, Board of Regents of Stephen F. Austin State University Consolidated University Refunding Bonds, Series 1991 A and Series 1991B It was ordered that approval be given for the Notices of Redemption for Series 1991A and Series 199IB, Board of Regents of Stephen F. Austin State University Consolidated University Revenue Refunding Bonds. Further, the administration recommends that the Board authorize the University to issue the Notices relative to any portion or all of the outstanding bonds of either or both series, to be determined based on available cash balances, funding requirements and interest markets. University Mainframe Computing System It was ordered that the University be authorized to proceed with procurement steps to purchase new mainframe and associated storage hardware and systems at a cost not to exceed $160,000 and that the President be authorized to sign the necessary purchase orders. The source of funds is 2002 HEAF. Facade - Art Center at the Opera House It was ordered that the University be allowed to seek proposals for renovation of the downtown Art Center facade and that the President be authorized to sign purchase orders and contracts for the work, not to exceed $80,000. Sources of funding are: grant, $25,000 and private gifts, $55,000. Residence Hall Fire Safety It was ordered that the Physical Plant Department be authorized to begin work immediately to install hard-wired smoke detectors in the residence halls and to install smoke compartmentalization improvements, and that the President be authorized to sign the necessary contracts and purchase orders. The cost is not to exceed $500,000 over the two-year period. Natural Gas Contract It was ordered that the University be authorized to enter into a contract with Reliant Energy/Entex for the purchase of natural gas. The contract may be cancelled with 30- day notice every six months. Also the General Land Office will review the contract every six months. Rusk and HPE Building Restorations It was ordered that the University be authorized to clean and restore the Rusk Building exterior and to complete minor restoration work on the Lucille Norton HPE Complex and that the President be authorized to sign purchase orders, not to exceed $75,500, to complete the projects. The source of ftinds is Physical Plant 2002 HEAF. Campus Sidewalk Repair The administration recommends that Physical Plant be authorized to proceed with phase I of the three-year sidewalk repair plan and that the President be authorized to sign the necessary contracts and purchase orders not to exceed $60,000. The source of funds is Physical Plant 2002 HEAF. Electric Service It was ordered that the University be authorized to enter into an agreement with TXU for electric service, seek better proposals if available, or take whatever action is required to insure continued electric service at a rate equal to, or less than, the regulated rate in effect December 31, 2001. Any contract for electric service beyond December 31, 2002 will be brought before the Board for approval. East College Cafeteria Air Handlers It was ordered that the University be authorized to replace the air handlers in the East College Cafeteria basement at a price not to exceed $110,000 and that the President be authorized to sign the necessary purchase orders. Source of funds: University Center budgeted maintenance funds for FY02. Antenna Space Lease It was ordered that the University be authorized to enter into a antenna space lease agreement with Verizon, provided the University's legal counsel approves the contract, and that the President be authorized to sign the lease. Coordinating Board Approval of Tuition Revenue Bond Projects It was ordered that the University be authorized to request Coordinating Board approval for the projects approved in House Bill 658 (renovation or replacement of the Human Services Building, replacement of the telecommunications facility, campus infrastructure improvements, and renovation of Power Plant I) at a price not to exceed $14,070,000. Arthur Temple College of Forestry Front Entrance It was ordered that the University be authorized to complete the renovation of the front entrance to the Arthur Temple College of Forestry Building and addition of several offices and minor alterations to the central portion of the building at a price not to exceed $229,727 and that the President be authorized to sign the contracts. The source of funds will be gifts ($120,000) and HEAF ($109,727). Policy Revisions It was ordered that the policy revisions be approved as presented. Marketing Plan It was ordered that the marketing plans and materials prepared by Kolar Advertising and Marketing be accepted as presented. 02-03 Upon motion of Regent Roberds, seconded by Regent Butler, with all members voting aye, approval was given for the the appointment of Mr. Marc Cossich, Chief of University Police, at a salary of $70,000 for 100% time for 12 months, effective September 3, 2001. REPORTS A. Faculty Senate Chair, Dr. Joe Devine 1. Salary Equity Steering Committee initiated by Dr. Guerrero 2. Admissions standards 3. Library materials budget 4. Distance Learning and Intellectual Property Policy 5. Developmental/remedial program 6. Guidance in evaluating web sites B. President, Student Government Association, Mr, Charlie Hueber 1. Status of leadership minor 2. Student response regarding Dean of Student Development C. President, Dr, Tito Guerrero III 1. Meetings with School Superintendents and Community College Presidents throughout the Region (Region 5 - Beaumont, November 14,2001; Region 8 - Mount Pleasant, December 5, 2001) 2. Meeting with Governor Perry (October 19, 2001) 3. HACU Annual Conference (October 27-31, 2001) 4. Board of Visitors, Air University, Maxwell Air Force Base (November 4-7, 2001) 5. Exploration of Possible Collaborations with the State of Chihuahua (November 7- 11,2001) 6. Interior Design Accreditation Team Visit (November 12, 2001) 7. Big Switch (November 15, 2001) 8. AASCU Winter Meeting (November 18-21, 2001) 9. Football Game Against Texas Tech University (November 24, 2001) 10. Commencement (December 15, 2001) 11. Answer Questions from Members of the Board of Regents Upon motion of Regent Roberds, seconded by Regent de la Garza-Grahm, the meeting adjourned at 11:35 a.m. 10 Appendix No. 1 Board of Regents Stephen F, Austin State University Nacogdoches, Texas RESOLUTION DECLARING EXPECTATION TO REIMBURSE EXPENDITURES WITH PROCEEDS OF FUTURE DEBT WHEREAS, Stephen F. Austin State University (the University) intends to expend approximately $14,070,000 to finance campus infrastructure improvements, construction of a telecommunications building, renovation of power plant facilities, and replacement or renovation of the Birdwell Building (the Project) to be funded with proceeds of bonds to be issued by the Texas Public Finance Authority (the Authority ) as authorized by House Bill 1077, Acts of the 75th Legislature, Regular Session (1997) and by House Bill 658, Acts of the 77th Legislature, Regular Session (2001); and WHEREAS, the University intends to expend an amount not to exceed $14,070,000 (the Expenditure ) for Project costs and intends the Expenditure to be reimbursed from proceeds of bonds to be issued by the Authority for the Project; and WHEREAS, under Treas. Reg. Section 1.103-19 (the Regulation) to fund such reimbursement with proceeds of tax-exempt obligations, the University must declare its expectation of such reimbursement before making the Expenditure; and WHEREAS, the University and the Authority desire to preserve the ability to reimburse the Expenditure with proceeds of tax-exempt obligations; NOW THEREFORE THE UNIVERSITY HEREBY RESOLVES that it reasonably expects to reimburse the Expenditure with the proceeds of the bonds to be issued thereafter by the Authority, and this Resolution shall constitute a declaration of official intent under the Regulation. BE IT FURTHER RESOLVED, that a copy of this resolution be spread upon the minutes of the October 22, 2001, meeting of the Board. This Resolution will be made available for public inspection at the office of the Authority at 300 West 15th Street, Austin, Texas and at the main office of the University at 1936 North Street, Austin Building, Office 315, Nacogdoches, Texas. THE BOARD OF REGENTS, STEPHEN F. AUSTIN STATE UNIVERSITY Attest: Penny Butler, Secretary 11 Appendix No. 2 NOTICE OF REDEMPTION Board of Regents of Stephen F. Austin State University NOTICE is hereby given that the Board of Regents of Stephen F. Austin State University (the "Board") has called for redemption on the date and at the redemption price specified, the below listed Outstanding Bonds of the Board as follows: Board of Regents of Stephen F. Austin State University Consolidated University Revenue Refunding Bonds, Series 1991A, dated April 15, 1991, maturing on the dates and in the amounts, bearing CUSIP numbers and being redeemed on the date and at the redemption price as follows: MATURITY PRINCIPAL REDEMPTION INTEREST CUSIP DATE AMOUNT DATE RATE NO. » October 15,2002 $ 1,635,000 6.50% 858620P27 October 15,2012 1,705,000 6.75% 858620P68 aggregating $3,340,000 in principal amount. Said Bonds shall be redeemed at The Chase Manhattan Bank in Dallas, Texas, the Paying Agent for said Series 1991A Bonds. Upon presentation of said Bonds at the Paying Agent on the aforementioned redemption date, the Registered Owner thereof shall be entitled to receive the redemption price equal to the principal amount of the Bonds to be redeemed and accrued interest thereon to the date fixed for redemption. NOTICE IS FURTHER GIVEN that due and proper arrangements have been made for providing the Paying Agent with fiinds sufficient to pay the redemption price of the Bonds called for redemption. In the event said Bonds, or any of them are not presented for redemption by the date fixed for their redemption, they shall not thereafter bear interest. THIS NOTICE is issued and given pursuant to the redemption provisions in the proceedings authorizing the issuance of the aforementioned Bonds and in accordance with the recitals and provisions of each of said Bonds. NOTICE IS FURTHER GIVEN that the Bonds should be submitted to the following address: BY MAIL OR BY COURIER: The Chase Manhattan Bank P. O. Box 2320 9th Floor Dallas, TX 75221-2320 Attn: Institutional Trust Services Withholding of 31% of gross redemption proceeds of any payment made within the United 12 States maybe required by the Interest and Dividend Tax Compliance Act of 1983 unless the Paying Agent has the correct taxpayer identification number (social security or employer identification number) or exemption certificate of the payee. Please furnish a properly completed Form W-9 or exemption certificate or equivalent when presenting your securities. * The Board and Paying Agent shall not be responsible for the use of the CUSIP number selected, nor is any representation made as to its correctness indicated in the notice or as printed on any Bond. It is included solely for the convenience of the holders. WITNESS MY OFFICIAL SIGNATURE this the^~~day of UC-WbJS, 2001 Roland K. Smith Vice President for Business Affairs Stephen F. Austin State University 13 NOTICE OF REDEMPTION Board of Regents of Stephen F. Austin State University NOTICE is hereby given that the Board of Regents of Stephen F. Austin State University (the "Board") has called for redemption on the date and at the redemption price specified, the below listed Outstanding Bonds of the Board as follows: Board of Regents of Stephen F. Austin State University Consolidated University Revenue RefundingBonds, Series 1991B, dated April 15,1991, maturing on the dates and in the amounts, bearing CUSIP numbers and being redeemed on the date and at the redemption price as follows: MATURITY PRINCIPAL REDEMPTION INTEREST CUSIP DATE AMOUNT DATE RATE NO. * October 15,2002 $ 320,000 6.50% 858620P35 October 15,2004 755,000 6.50% 858620P50 aggregating $ 1,075,000 in principal amount. Said Bonds shall be redeemed at The Chase Manhattan Bank in Dallas, Texas, the Paying Agent for said Series 199IB Bonds. Upon presentation of said Bonds at the Paying Agent on the aforementioned redemption date, the Registered Owner thereof shall be entitled to receive the redemption price equal to the principal amount of the Bonds to be redeemed and accrued interest thereon to the date fixed for redemption. NOTICE IS FURTHER GIVEN that due and proper arrangements have been made for providing the Paying Agent with funds sufficient to pay the redemption price of the Bonds called for redemption. In the event said Bonds, or any of them are not presented for redemption by the date fixed for their redemption, they shall not thereafter bear interest. THIS NOTICE is issued and given pursuant to the redemption provisions in the proceedings authorizing the issuance of the aforementioned Bonds and in accordance with the recitals and provisions of each of said Bonds. NOTICE IS FURTHER GIVEN that the Bonds should be submitted to the following address: BY MAIL OR BY COURIER: The Chase Manhattan Bank P. O. Box 2320 9th Floor Dallas, TX 75221-2320 Attn: Institutional Trust Services Withholding of 31% of gross redemption proceeds of any payment made within the United 14 States may be required by the Interest and Dividend Tax Compliance Act of 1983 unless the Paying Agent has the correct taxpayer identification number (social security or employer identification number) or exemption certificate of the payee. Please furnish a properly completed Form W-9 or exemption certificate or equivalent when presenting your securities. * The Board and Paying Agent shall not be responsible for the use of the CUSIP number selected, nor is any representation made as to its correctness indicated in the notice or as printed on any Bond. It is included solely for the convenience of the holders. WITNESS MY OFFICIAL SIGNATURE this XheZZ-" day oftfkf^W-; 2001. Roland K. Smith & Vice President for Business Affairs Stephen F. Austin State University 15 Appendix No. 3 Stephen F. Austin State University Schedule of Budget Increases July 5, 2001 to September 26, 2001 16 Appendix No. 4 Policies for Board Review October 23, 2001 17 Appendix No. 4 Policies for Board Review October 23,2001 18 Copyrighted Works Reproduction A-12 Original Implementation: 1979 Last Revision: July 27, \999October 23, 2001 The copyright law (Public Law 94-533) affects everyone involved in photocopy reproduction and all types of reproduction and/or use of other's works. The following guidelines provide general copyright information useful to the academic community. I. Public Copy Machines All public copy machines or public copy centers on campus must have a warning notice on or near each machine, which states that the responsibility for copyright infringement rests with the user. The use of printed copyright warnings transfers a portion of the responsibility for copyright compliance to the individual user. All employees who assist in making copies must comply with the fair use guidelines below. The law requires Ppublic copy machine users arc encouraged to follow these fair use guidelines, copic3 of which shall be niadc available at a reasonable location near public copy machines. II. General Fair Use Guidelines Only the following copies may be made from copyrighted works: A. A single copy of one or more chapters from a book, one or more articles from a periodical title, one or more short stories, essays, short poems, charts, graphs, diagrams, drawings, cartoons, or pictures, provided the amount of copying does not exceed 10% of the entire volume. B. Copies in excess of this amount may be permissible in some circumstances under fair use. The following factors wilt-must be considered: 1. the purpose and character of the use, including whether such use is of a commercial nature or is for nonprofit educational purposes; 2. the amount and substantiality of the portion used in relation to the copyrighted work as a whole; 3. the nature of the copyrighted work; and 4. the effect of the use upon the potential market for or value of the copyrighted work. Refer to 17 U.S.C. 504 (c)(2) within the copyright law. C. A single copy of an excerpt from a musical work, provided the excerpt is less than 10% of the entire work and is less than a performable unit, such as a section, movement or aria. PI D. A single copy of an entire work, provided a copy cannot be obtained at a fair price. III. General Guidelines on Public Works Free use of materials not protected by copyright is permitted for public works. The presence or absence of a copyright notice is no longer of significance in determining what is a protected copyright or a public work. Older works published without a notice may be in the public domain, but for works created after March 1, 1989, absence of a notice is non-determinative. The following guidelines may be used to determine what constitutes a public work. A. Works that lack originality (e.g., phone book) B. Works in the public domain (no longer protected by copyright) C. Free ware (must be expressly stated) D. U.S. Government works E. Facts F. Ideas, processes, methods, and systems described in copyrighted work that is not otherwise protected by patents. IV. Special Library Guidelines Libraries are authorized to exercise special rights in addition to fair use. These rights are described in Section 108 of the copyright law. They allow copying for archiving lost, stolen, damaged, or deteriorating works, making copies for library patrons, and making copies for other libraries' patrons (interlibrary loan). For works in the last 20 years of protection and not available at a reasonable price, more generous copying than indicated below may be performed provided the purpose of the copying is to support preservation, scholarship or research. A. Copies made by library staff for patrons generally 1. All of the general fair use requirements listed above apply for patron copying. 2. Only single copies, and no multiple copies, will be made. 3. Copy requests exceeding these limitations must be refused. B. Copies made by library staff for reserve and for a faculty member's classroom use 1. All of the general fair use requirements listed above apply for single or multiple copies. 2. Multiple copying may not exceed one copy per student, and may not be repeated with respect to the same item by the same instructor from term to term. 3. Copy requests exceeding these limitations must be refused. C. Copies made by library staff for purposes of collection maintenance P2 A published work may be duplicated to replace a copy that is damaged, deteriorating, lost or stolen, provided that after a reasonable effort the Library has determined that an unused replacement cannot be obtained at a fair price. An unpublished work may be duplicated for purposes of preservation or security or for deposit for research use in another library. D. Interlibrary loan copying The library may annually acquire, through interlibrary loan, up to five copies of articles published in any title within the last five years. If a request exceeds the five articles permitted, the Access Services Department will apprise the patron of other options. E.-Digitizing other's works in electronic reserves 1. Limit reserve materials to a. single articles or chapters; several charts, graphs or illustrations; or other small parts of a work b. small part of materials required for the course c. copies of material a faculty member or the library already possesses legally (i.e., by purchase, license, fair use, interlibrary loan, etc.) 2. Include a. any copyright notice on the original b. appropriate citations and attributions to the source c. a Section 108(f) (1) notice indicating that making a copy may be subject to copyright law. 3. Limit access to students enrolled in the class and administrative staff as needed. Terminate access at end of class term. 4. Obtain permission for repeated use of materials by the same instructor for the same class. Sections ±-$ IV is-afe concerned with the copying that can be legally done without obtaining the copyright owner's permission. The Library may not make copies in excess of the limits stated in the above sections without the permission of the copyright owner. It is the user's responsibility to obtain permission of the owner when such permission is needed. It is suggested that in requesting permission, the user state the purpose for the copying and the number of copies being requested. When the user presents evidence of the owner's permission, the library may copy within the limits of the permission statement. V. Guidelines for Coursepacks The General Fair Use Guidelines are applicable to coursepacks. Copyright notices, appropriate P3 citations and attributions should be included. The faculty/staff member who compiles the coursepack materials shall be responsible for complying with these guidelines. Permission must be obtained for materials that will be repeatedly used by the same instructor for the same class. Using a commercial copy shop does not necessarily relieve the coursepack creator of liability, unless the above guidelines are followed or the copy shop pays appropriate royalties. Campus copy centers are not permitted to copy coursepacks, unless these guidelines are followed. VI. Computer Software As previously explained oOnly explicitly stated freeware, not shareware or other licensed software, is allowed to be freely used without a license. Appropriate licenses must be obtained . for all other software use. The software user is responsible for reading and complying with all "shrink wrapped" or other license agreements. Other University computer use policies shall also apply. VII. Guidelines for Music The University maintains some general licenses for copyrighted music use with BMI and ASCAP for specific use areas (e.g., College of Fine Arts, Student Activities, etc.). Beyond those areas, use of music must be licensed or specific permission obtained. General guidelines for copying music are outlined below. A. Limit copying as follows: 1. sheet music, entire works: only for performances and only in emergencies 2. sheet music, performable units (movements, sections, arias, etc.); only if out of print 3. student performances, record only for teacher or institutional evaluation or student's portfolio 4. sound recordings: one copy for classroom or reserve room use B. Include 1. any copyright notice on the original 2. appropriate citations and attributions to the source 3. a Section 108(f)(l) notice that making a copy may be subject to copyright law C. Replace emergency copies with purchased originals if available VIII. Performances and Displays in Face-to-Face Teaching and Broadcasts Educational institutions and governmental agencies are authorized to publicly display and perform others' works in the course of face-to-face teaching activities, and to a limited degree, in broadcasts whert there is a delayed transmission of faculty instruction. These rights are described in Sections 110(1) and (2) of the copyright law. IX. Performances and Displays in Distance Learning P4 Sections 110(1) and (2) of the copyright law outlined in section VIII of this policy may not cover fair use of the performance of others' works in online course materials. The guidelines below incorporate these basic rules: small parts, limited times, and limited access are the keys to fair use. A. Incorporate performances of others' works 1. sparingly 2. only if a faculty member or the institution possesses a legal copy of the work B. Include 1. any copyrighted notice on the original 2. appropriate citations and attributions to the source 3. a Section 108(f)(l) notice that making a copy may be subject to copyright law C. Limit access to students enrolled in the class and administrative staff as needed. Terminate access at the end of the class term. D. Obtain permission for materials that will be used repeatedly by the same instructor for the same class. X. Digitizing and Using Images for Educational Purposes First and foremost, if an image is readily available online or for sale or license at a fair price, point to, purchase, or license the image. If an image is not readily available online or for sale or license at a fair price, digitize and use the image in accordance with the following limitations: A. Limit access to all images except "thumbnails" to students enrolled in the class and administrative staff as needed. Terminate access at the end of class term. B. "Thumbnails" are visual identification tools of a size and quality that makes them commercially useless. Since thumbnails are of no commercial value, fair use would permit their use without restriction. C. Faculty members may also use these images at peer conferences. D. Students may download, transmit and print out these images for personal study and for use in the preparation of academic course assignments and other requirements for degrees, may publicly display images in works prepared for course assignments, etc., and may keep works containing images in their portfolios. E. Periodically review digital availability. If a previously unavailable image becomes available online or for sale or license at a fair price, point to or acquire it. XI. Digitizing and Using Other's Works in Multimedia Materials For Educational Purposes The CONFU Fair Use Guidelines for Educational Multimedia suggest that fair use requires P5 adherence to specific numerical portion limits, that copies of the multimedia work that includes the works of others should be strictly controlled, and that fair use "expires" after 2 years. The following general guidelines acknowledge that these are important considerations, but that the CONFU numerical limits do not constitute the outer limits of fair use. The guidelines below allow for the creation of unique works within the limitations provided, but not to make multiple copies and give them out. (Multimedia works which include the use of other's works and will be licensed, distributed or sold, must obtain appropriate permission from each applicable copyright holder.) A. Students, faculty and staff may 1. incorporate other's works into a multimedia work 2. display and perform a multimedia work in connection with or creation of a. class assignments b. curriculum materials c. remote instruction d. examinations e. student portfolios f. professional symposia B. Be conservative. Use only small amounts of other's works. C. Provide appropriate acknowledgments to the work of others. D. Do not make any unnecessary copies of the multimedia work. XII. Permission In all circumstances other than the specific fair use guidelines described above, permission must be obtained from the copyright holder. Advance planning is important to purchase, license or otherwise obtain appropriate permission for use of copyrighted material. XIII. Personal Liability Personal liability for copyright infringement can be created for willful acts. This policy has been formulated to provide specific guidance on the variety of circumstances where fair use is permissible. The copyright law provides a good faith fair use defense [17 USC 504 (c)(2)]. It applies only if the person who copied material reasonably believed that what he or she did was fair use. Adherence to this policy will help protect the SFA academic community from potential copyright liability. Recent federal legislation entitled the No Electronic Theft (NET) Act creates criminal penalties for non-commercial copyright infringement of a sufficient dollar value. The academic P6 community must be aware that distribution of pirated computer software or other copyrighted material on computer bulletin boards or other methods of distribution may constitute a federal crime, regardless of whether or hot the infringer receives any financial gain. The Digital Millennium Copyright Act (DMCA) limits University liability as an internet service provider for certain copyright infringements created on-line. The University's registered agent for on-line copyright infringement complaints shall be the General Counsel. The DMCA establishes procedures whereby, upon receipt of proper complaints, the University will block access to or take down allegedly infringing material and notify the web page owner of the complaint. The alleged infringer may issue a counter-notice, which includes a signature, description of removed material, explanation why the material did not infringe any copyright, and their name, address and phone number, with a consent to the jurisdiction of the Court to be sued. Upon receipt of this counter-notice, the University shall re-post the material. Repeat infringers will be subject to termination of internet service by the University. See University Policy, Computer and Network Security D-8.1 and Digital Millennium Copyright Policy D-8.2. Further information can be obtained by accessing the webpage of the U.S. Copyright Office within the Libraiy of Congress at: http ://www.lcweb.loc. gov/copvright/You may also contact the University's General Counsel with specific inquiries. Source of Authority: 17 U.S.C. section 101 et seq., NET Act H.R. 2265 105th Congress, Digital Millenium Copyright Act, Pub.L.No. 105-304,112 Stat. 2860 (October 28, 1998), CONFU Guidelines, Vice President for Academic Affairs Cross Reference: University Policies, Computer and Network Security D-8.1, and Digital Millennium Copyright Policy D-42 Contact for Revision: Director of University Libraries, General Counsel Forms: None P7 Off-Campus CourscsCra/*7 Classes A-34 Original Implementation: September 8, 1978 Last Revision: April 20, \999October 23, 2001 The University recognizes extension and field services off-campus credit classes as an important responsibility to the citizens of Texas. As part of this responsibility, the University offers off-campus courses designed to meet educational needs of its clientele. The following policies and procedures are designed to guide and expedite the off campus credit programs of the University. -k- General policies for off-campus coursssclasses: a. All off-campus courses classes must be approved by the Coordinating Board and meet its guidelines for the conduct of such coursesclasses. The responsibility for submitting a proposed class rests with the dean of the college offering the class in collaboration with the Distance Education Coordinator in the Office of Instructional Technology, b. The College of Education is responsible for securing approval of courses, administering off campus facilities, scheduling of courses and registration. Each academic dean of a college proposing to offer an off-campus class has the responsibility, in conjunction with the appropriate department chair/division director, for scheduling the class, reserving space at reasonable cost, and managing the budget related to that class. Each class must have at least ten (10) students. c. A department offering an off-campus coursec/oss-is responsible for the instructional aspects of the eewsec/a.y.y-including staff, content, materials and evaluation as well as for student advising, registration, and degree plans.. d. A department offering a program in which a substantial portion of degree requirements may be completed off campus is responsible for student advising and preparation of degree plans. e. The following two types of courses may be offered off campus: (1) Resident credit: These courses operate under the same fee schedule as on campus courses. (2) Extension: All direct instructional costs are paid by the students. Semester hours do not qualify for state appropriations. Salaries cannot be paid from appropriated faculty salary funds. Or.—Approval procedure for off campus resident credit courses: The following procedures and deadlines have been established to meet the Coordinating Board's calendar as well as the University's class scheduling and registration. a. An annual plan for off campus courses is submitted to the Coordinating Board in March preceded by notification of regional peer institutions. The deadline for departments to submit courses for the annual plan is January 31. P8 b. Where changes are necessary in the annual plan, the following deadlines apply: (1) July 15: Submit any course changes for the fall semester. (2) November 1: Submit any course change for the spring semester. (3) April 15: Submit any course change for Summer I and II. (4) In emergency situations, approval can be obtained by telephone up to the date of registration if a course is not questioned by another institution. However, this procedure is reserved for exceptional circumstances. Approval procedure for extension courses: a. Proposed extension courses may be submitted until one week prior to their beginning. Immediate approval of extension courses is usually obtainable. b. Extension courses are self supporting. There must be sufficient enrollment to cover the salary and travel of the instructor. Extension teaching is carried by the instructor as an overload. c. The clientele to be served should be identified specifically prior to submission of the course for approval. d. It is not necessary for extension courses to adhere to the semester calendar. However, minimum class time requirements must be met. Scheduling procedure: a. A master schedule for each location will be prepared by the Dean of the College of Education. The specific time schedules will be planned in consultation with the respective department chair and the coordinator for off campus centers. The following criteria will be utilized in the scheduling of classes. (1) Academic and scheduling needs of students. (2) Availability and utilization of facilities. (3) Availability of faculty. b. Schedule changes Emergency changes in the meeting times of courses are permissible during the off campus registration period if student needs demand a change. However, schedule changes are subject to the following restrictions and procedures: (1) A course may not be changed unless the change is approved by the department chair, dean or departmental representative who is present at registration. Approval may be obtained by telephone However, if such approval is not obtained during the initial registration period, registration for these students must be postponed until the first class day. P9 (2) If a schedule change is made, the department chair will make the change on the day following registration. Notification of the schedule change will be submitted to the College of Education and, to the Graduate School. $-.—Registration procedure: a. Registration periods will be scheduled to accommodate prospective students. Normally this can be accomplished in one registration period. The time will be set by the Dean of the College of Education in consultation with the coordinator for off campus centers and the department chair involved. b. Responsibility for the registration process rests with the Dean of the College of Education. This may be delegated to the coordinator for off campus centers or to a specifically assigned field advisor at each site. Because off-campus instruction makes demands on faculty time and energy beyond that required for on-campus instruction, additional compensation is appropriate. The responsibility for establishing the schedule of compensation rests with the Vice President for Academic Affairs. Source of Authority: Texas Education Code, Title III, sub-Title A, Chapter 51, Subchapter C, Sec. 61.051; and Vice President for Academic Affairs Cross Reference: Faculty Handbook Contact for Revision: Vice President for Academic Affairs Forms: None P10 Oral English Proficiency Exam A-35.1 Original Implementation: September, 1990 Last Revision: April 21, 1998 October 23, 2001 Background Legislation enacted by the Texas Legislature requires that instruction at public colleges and universities be delivered in understandable English. It further requires that each University adopt policy establishing procedure for insuring that instructors faculty members whose native language is not English are proficient in the use of the English language. Therefore, the University has established this Oral English Proficiency Program. General Assumptions 1. It is understood that a faculty member may use a foreign language to conduct foreign language courses designed to be taught in a foreign language. 2. It is also understood that a faculty member may provide individual assistance during course instruction to a non-English-speaking student in the native language of the student. Identification of Faculty Members Lacking Proficiency in English 1. Departmental chairpersons shall cause all faculty members, as defined in Texas Education Code, sec. 51.917, to specify in writing their native and primary language. a. Those who identify English as their native or primary language and who offer proof of that identification shall be exempt from any testing or oral language improvement program. b. Those who do not identify English as their native or primary language shall be required to take and pass with an appropriate score either: 1) the Test of Spoken English (TSE-A or TSE-P) or 2) the locally administered SPEAK test. c. The fact that a person has successfully completed the TSE-A and TSE-P or the SPEAK test with an appropriate score would be duly recognized, and a document attesting his success would be entered into the faculty member's personnel file, with copies sent to his/her chairperson and dean, and to the Dean of Applied Arts and Sciences and to the Vice President for Academic Affairs by the Division of Continuing Education. Pll d. Those who fail to achieve an appropriate score on the TSE-A or TSE-P or the SPEAK test will be required to enroll in the Oral English Proficiency Program offered at Stephen F. Austin State University and described in this policy. 2. a. For each member of his/her department whose primary language is not English, the departmental chairperson will complete and sign an oral English proficiency form which rates each faculty member's English proficiency as being: 1) Acceptable 2) Unsatisfactory The chairperson's rating shall be based on the faculty member's passing with an appropriate score the TSE-A, TSE-P, or the locally administered SPEAK test. b. The chairperson shall provide the faculty member with a copy of this form. c. The chairperson shall send a copy of this English proficiency form to his/her dean. d. The dean shall send a copy of this English proficiency form to the Academic Vice President. Oral English Proficiency Program This Program is meant to assist faculty members whose primary language is not English to become more proficient in the use of English. This Program does not carry academic credit. 1. The Program will be of a tutorial nature. 2. The Dean of Applied Arts and Sciences will be the dean of record. 3. ar-The Program will appear in the General Bulletin with a course number, a title, and a description and be listed among the offerings of the Department of Communication, with a cross-reference to the Division of Continuing Education. b. The Program will appear in the General Bulletin with a course number, a title, and a description (all from the Department of Communication) and be listed among the offerings of the Division of Continuing Education. er4. The bulletin description of the Program is as follows: This Program is meant to assist faculty members whose primary language is not English to become more proficient in the use of English. This Program doos not carry academic tizOral English Proficiency Program (Communication 098) is a program designed to P12 assist faculty members whose primary language is not English to become more proficient in the use of English. This program does not carry academic credit. 45. The Program will be situated in the Academic Assistance Resource Center (AARC), where there is adequate space, tutor-guided and self-help materials, and equipment for the proper conduct of the Program. 5r-a<5. The Dean of Applied Arts and Sciences will appoint a Director of the Program, among whose responsibilities are the testing of individuals, the establishing of minimum scores, and the format for individual tutorial assistance and its frequency. The Director of the Program will be additionally responsible for identifying the appropriate instructional materials and communicating program needs to the Director of the AARC. The Director of the Program, acting upon the advice of the instructor(s) of the Program, will also verify when or whether an individual has successfully completed the Program and will report the results to the Director of Continuing Education, who will make a recommendation to the faculty member's chairperson. Director of Continuing Education will report these and subsequent decisions to the Dean of Applied Arts and Sciences. 67. The Dean of Applied Arts and Sciences, in conjunction with the Director of Continuing Education, will select the teacher(s) of the Program. The teacher(s) of the Program may include: a. the Director of the Program b. an experienced or credentialed person from an English as a Second Language educational program c. an experienced or credentialed person from the Department of Communication d. an experienced or credentialed person from AARC, with specialization in ESL matters. 18. The law requires the faculty member to bear the costs of the program. Because of the widely varying needs of the individual recipients of the Program, and consequently because of the widely varying amounts of time involved in satisfactory completion of the Program, the Director of Continuing Education will attempt to negotiate individual contracts involving costs of the Program which will be satisfactory to both the recipients of the Program and the instructor(s) of the Program. . Successful completion of the Program will be signaled by: P13 ±a) the passing of a locally administered version of the SPEAK test with an appropriate score or 2b) the passing of the TSE-A or TSE-P test with an appropriate score or the decision of the Director of the Program, acting upon the advice of the teacher(s) of the Program who, along with the person's chairperson, will certify a person's successful completion of the Program. an instructor's faculty member s successful completion of the Program, a document asserting that fact will be issued by the Division of Continuing Education, with approval by the Dean of Applied Arts and Sciences, and entered into the instructor's faculty member s personnel file. er-Further notification of an instructor's faculty member s successful completion of the Program will be made to the relevant chairpersons, deans, and ultimately to the Vice President for Academic Affairs by the Division of Continuing Education. 910. Should a person fail the Program, he/she will be required to re-enroll in the Program until he/she is able successfully to complete it by passing a locally administered version of the SPEAK test with an appropriate score or by passing the TSE-A or TSE-P test with an appropriate score or by receiving the certification of successful completion by the Director of the Program. Identification of Instructor 1. Departmental chairpersons shall cause all faculty members, as defined in House Bill 638, to specify in writing their native and primary language. a. Those who identify English as their native or primary language and who offor proof of that identification shall be exempt from any testing or oral language improvement program. b. Those who do not identify English as their native or primary language shall be required to take and pass with an appropriate score either: 1) the Test of Spoken English (TSE A or TSE P) or 2) the locally administered SPEAK tost. c. The fact that a person has successfully completed the TSE A and TSE P or the SPEAK test with an appropriate score would be duly recognized, and a document attesting his success would be entered into the instructor's personnel file, with copies sent to his/her chairperson and dean, and to the Dean of Applied Arts and Sciences and to the Vice President for Academic Affairs by the Division of Continuing Education. P14 d. Those who fail to achieve an appropriate score on the TSE A or TSE P or the SPEAK test will be required to enroll in the Oral English Proficiency Program offered at Stephen F. Austin State University and described in this policy. 2. a. For each member of his department whose primary language is not English, the departmental chairperson will complete and sign an oral English proficiency form which rates each faculty member's English proficiency as being: 1) Acceptable 2) Unsatisfactory The chairperson's rating shall be based on the faculty member's passing with an appropriate score the TSE- A, TSE P, or the locally administered SPEAK test. b. The chairperson shall provide the faculty member with a copy of this form. c. The chairperson shall send a copy of this English proficiency form to his dean. d. The dean shall send a copy of this English proficiency form to the Academic Vice President., Summary The normal procedure, then, for one whose primary language is not English, would be as follows: 1. Any instructor faculty member identified by a departmental chairperson whose native language is not English is subject to the procedures contained in this policy. 2. The instructor^fCE//iry member would take a locally administered SPEAK test as a means of determining his/her fluency in oral English. 3. If the instructor faculty member successfully completed this SPEAK test with an appropriate score, this fact would be duly recognized, and a document attesting his/her success would be entered into the faculty member instructor's personnel file, with copies sent to his/her relevant chairperson, dean, and to the Vice President for Academic Affairs by the Division of Continuing Education, with approval by the Dean of Applied Arts and Sciences. 4. If the instructor faculty member failed the locally administered SPEAK test, he/she would be required to enroll in the Program. 5. If an instructor faculty member objected to the results of the locally administered SPEAK test, he/she could request to take the Test of Spoken English (TSE), which is P15 offered twelve times a year and administered by Educational Testing Service at established test centers in Fort Worth, Houston, and Austin at a cost ranging from $75 to $100. (Teaching and research assistants apply for a test entitled TSE-A, which costs $75, Faculty members Professors and others not designated as teaching or research assistants request the test entitled TSE-P, which costs $100.) 6. Aft faculty member s instructor's passing the TSE-A or TSE-P test with an appropriate score would obviate his/her enrolling in the Program. 7. The fact that an instructor faculty member has successfully completed either the TSE-A or TSE-P test with an appropriate score would be duly recognized, and a document attesting his/her success would be entered into his/her personnel file, with copies sent to the appropriate chairperson and dean, and to Dean of Applied Arts and Sciences and to the Vice President for Academic Affairs by the Division of Continuing Education. 8. Should the faculty member instructor fail the TSE-A or TSE-P test, he/she would be required to enroll in the Program. Source of Authority: Texas Education Code, sec. 51.917, Board of Regents, President, Vice President for Academic Affairs Cross Reference: None Contact For Revision: Vice President for Academic Affairs Forms: None P16 File Maintenance for Faculty Personnel Files A-60 Original Implementation: October 31,2000 Last Revision: ¥leaeOctober 23, 2001 The Southern Association of Colleges and Schools requires that the university keep on file for all full-time and part-time faculty members documentation of academic preparation including official transcripts, and, if appropriate for demonstrating competency, official documentation of professional and work experience, technical and performance competency, records of publications, certifications and other qualifications. To meet that requirement, the following guidelines have been established which address the contents of the file as well as the designated place for maintaining the file. Filed in Office of Vice President for Academic Affairs: I. Tenured/Tenure Track Faculty: Professor, Associate Professor, Assistant Professor, Instructor, Librarian I, II, III or IV — 9 month, 100% time, tenure track 1) Personnel Action Request form (green copy) 2) Recommendation for Appointment form 3) Signed contract issued by VPAA office 4) Post-hire form 5) Curriculum vita $6) Official transcripts from all degree granting institutions attended 67) Three letters of reference EL Visiting (Rank), Lecturer, Librarian I-T, II-T, III-T, or IV-T, Designated (fuil-time) — 9 month, 100% time, non-tenure track 1) Personnel Action Request form (green copy) 2) Recommendation for Appointment form 3) Signed contract issued by VPAA office 4) Post-hire form 5) Curriculum vita $6) Official transcripts from all degree granting institutions attended 67) Three letters of reference Filed in Office of Dean: L Adjunct, Designated (part-time) — 4.5 to 9 months, less than 100% time, non tenure track 1) Personnel Action Request form (blue copy) 2) Signed contract issued by Dean s office 3) Post-hire form 4) Curriculum vita P17 4)5) Official transcripts from all degree granting institutions attended $6) Three letters of reference n. Graduate Teaching Assistant (Domestic)— Enrolled graduate student, 50% time or less, non-tenure track 1) Personnel Action Request form (blue copy) 2) Signed contract issued by Deans Graduate office 3) Post-hire form 4) Official transcripts from all degree granting institutions attended 5) Three letters of reference Filed in Graduate Office: I. Graduate Teaching Assistant (International) — Enrolled graduate student, 50% time or less, non-tenure track 1) Personnel Action Request form (blue copy) 2) Signed contract issued by Graduate Office 3) Post-hireform 4) Official transcripts from all degree granting institutions attended 5) Three letters of reference The above records must be maintained for five (5) years after personnel leave active employment. Note: See Policy E-1A, Academic Appointments and Titles, for definition of titles. Source of Authority: Vice President for Academic Affairs Cross Reference: Policy and Procedure Manual, Faculty Handbook Contact for Revision: Vice President for Academic Affairs Forms: None P18 Hall 20 Guest Rooms B-l 1 Original Implementation: January 21, 1986 Last Revision: October 26, 1999 October23, 2001 The provisions of the policy on the Use of University Facilities govern the use of all buildings, facilities, equipment, and grounds, hereafter referred to as facilities, under the control of Stephen F. Austin State University. That policy provides that the University may establish additional procedures for the reservation and use of specific facilities; therefore, the following provisions apply to Hall 20 Guest Rooms. Three guest rooms are available in Residence Hall 20 for use by individuals who are engaged in University-related business/activities which require overnight lodging, or individuals who are invited to the University by the President as official guests. Requests from University departments for use of these rooms for their guests will be approved/disapproved according to the two criteria listed below. 1. The guest must be one for whom the University, the sponsoring department in particular, would pay lodging expenses if the guest rooms did not exist. (University departments requesting use of the rooms should do so only when lodging is a normal, reimbursable travel expense to the visitor. "Free lodging" should not be offered to individuals who are providing a service/performance for the University for a specified fee when travel expenses, in addition to the fee, were not a part of the contract or agreement. 2. The length of stay should not exceed three consecutive nights. The guest rooms are located on the ground floor of Hall 20. Furnishings are hotel/motel style; available rooms have either a king bed or twin beds. Guests have access to ice and vending machines. Reserved parking is available in the small lot adjacent to Hall 20. University staff provides daily custodial service. Decisions regarding eligibility for use of these accommodations and reservations for the guest rooms are made by the Housing Department, extension 5304 6302. Details and responsibilities of the University department reserving guest rooms are given below. 1. The following information should be provided in a memo to the Housing Department, from by-the originating department when calling to make a room reservation: name of University guest; date and time of arrival and departure; name of University sponsor (see 2 below); purpose of visit, i.e., job interview, performance, etc; P19 copy of the contract between the University and the visitor 2. Each guest must have a University sponsor who serves as the contact person regarding any change in arrival/departure or special needs. The sponsor is responsible for communicating such information to the Housing Qf&eeDepartment, and for the pick-up and return of room keys and the parking permit to the Housing Q&ieeDepartment. The sponsoring department will be responsible for the replacement cost of keys that are not returned to the Housing Qf&eeDepartment. 3. Guests may check into Hall 20 after 3 p.m. and check out time is 1 p.m. Source of Authority: Director of Housing Cross Reference: None Contact for Reference: Housing Records CoordinatorDepartment Administrative Assistant Forms: None P20 Homer Bryce Stadium and William R. Johnson Coliseum B-12 Original Implementation: 1972 Last Revision: October 26, l999October 23, 2001 The provisions of the policy on the Use of University Facilities govern the use of all buildings, facilities, equipment, and grounds, hereafter referred to as facilities, under the control of Stephen F. Austin State University. That policy provides that the University may establish additional procedures for the reservation and use of specific facilities; therefore, the following provisions apply to Homer Bryce Stadium and William R. Johnson Coliseum. Use of Homer Bryce Stadium or William R. Johnson Coliseum by persons other than the University Athletic Department will be arranged through the Associate Athletic Director for Internal Affairs Special Events Coordinator and approved by the Director of Athletics. Such usage will be limited to events sponsored by University departments or recognized student organizations conducting activities within their established role and scope. Some events may be sponsored by the University, such as high school and University Interscholastic League events as well as other athletic events, which are sanctioned by an official governing organization. Persons or groups wishing to use either of these facilities should contact the Associate Athletic Director for Internal Affairs Special Events Coordinator (in person or by phone) concerning the availability of the facility and fee, if applicable. Questions regarding the use of these facilities for camp/conference participants should be directed to the Coordinator of University Reservations, located in the University Center. (See Camp and Conference Reservations policy.) 1. The Associate Athletic Director for Internal Affairs Special Events Coordinator will complete a facility use application. 2. The Associate Athletic Director for Internal Affairs Special Events Coordinator will assist University Departments and student organizations with coordination of University Police Department and University Physical Plant services for upcoming events. 3. If a fee is required, a contract will be completed before the date of the event. 4. The William R. Johnson Coliseum marquee will be used to advertise only official University events. Requests for messages on the marquee should be made to the Sports Information Director Special Events Coordinator. P21 Source of Authority: Board of Regents, President, Vice President for University Affairs Cross Reference: None Contact for Revision: Vice President for University Affairs Forms: None P22 Norton HPE Complex B-20 Original Implementation: Summer, 1975 Last Revision: October 26, \999October 23, 2001 The provisions of the policy for Use of University Facilities govern the use of all buildings, facilities, equipment and grounds, hereinafter referred to as facilities, under the control of Stephen F. Austin State University. That policy provides that the University may establish „ additional procedures for the reservation and use of specific facilities; therefore, the following provisions apply to the Norton HPE complex. The Lucille Norton HPE Complex is intended primarily for the use of SFASU students. The first priority use is for instruction, the second priority is for organized intramurals, and the third for recreation of students, faculty, and staff and fourth for summer camps with a building maintenance fee attached. University-sponsored groups may apply for use of the complex in accordance with the policy on Use of University Facilities. Application for the use of the Complex and tennis courts shall be made to the Chair of the Kinesiology and Health Science Department, and for other outside recreational areas, to the Director of Intramurals. These request are normally honored provided the before mentioned guidelines are met. Outside groups may apply for use of the Complex in accordance with University regulations. Area public schools are usually granted permission to use the tennis courts and, on rare occasion, Shelton Gym, for district and/or regional playoffs. Requests other than these require administrative approval by the respective vice president(s) and/or the President of the University. The following are specific guidelines for the use of the Norton HPE Complex by faculty and staff. 1. Faculty and staff I.D. card required to use facilities and/or check out equipment 2. No charge for use of facilities or pool by faculty or staff members; faculty/staff families have access to pools at a cost of $20 and the tennis courts at no cost. There is no access to the complex for faculty/staff families. 3. Family swim passes ($ 20) may be purchased at the Ticket Office and faculty/staff locker fee ($4 per semester) paid at the University Business Office. 4. Full time faculty and staff participation permitted in organized intramurals. 5. Racquetball courts available by reservation at the equipment room; individuals must reserve a court in person (with I.D.); only one hour per week P23 6. Indoor recreation areas open: Monday — Thursday 3 p.m. to 10 p.m. Friday 12 noon to 7 p.m. Saturday 12 noon to 6 p.m. Sunday 1 p.m. to 9 p.m. Source of Authority: Board of Regents, President, Vice President for Academic Affairs, Vice President for University Affairs Cross Reference: Intramural Handbook Contact for Revision: Chair of the Department of Kinesiology and Health Science; Director of Intramurals Forms: None P24 Competitive/fes* Value Procurement C-7 Original Implementation: January, 1988 Last Revision: August 1, IQOOOctober 23, 2001 Stephen F. Austin State University purchases goods and services on a value basis including 1) competitive bidding; 2) competitive sealed proposals; 3) catalog purchase; 4) group purchasing; or 5) open market contractto the extent practicable. Competitive procurement may include competitive bid, competitive negotiation, or any other logally recognized and approved process, but shall generally be understood as competitive bids. Competitive bidding is defined as the process of inviting and obtaining bids from competitive sources in response to terms and conditions of specifications. The General Services Commission interprets competitive bidding to be a level of competition at which two or more manufacturers' products will meet the specifications, terms and conditions of LI IV U1U. Competitive bids must be obtained from a minimum of three potential vendors, two of which must be certified by the GSC as Historically Underutilized Businesses. The Purchasing Department will utilize the GSC Centralized Master Bid List as a first resource for selecting non-HUB potential vendors. The Purchasing Department must document purchasing rationale in situations where in the required number of bids or HUB vendors is not obtained or not obtainable. The purchase of automated information systems products or services is to be conducted through a negotiation process with GSC approved Qualified Information Systems Vendors to secure the item or items which represents the 'best value' to the University. Catalog procedure allows the determination of brand to be made prior to securing price comparisons. Bidding is not allowed. Negotiations are to be conducted with a minimum of three vendors, two of which must be certified by the GSC as Historically Underutilized Businesses, for catalog purchases greater than $2,000. The Purchasing Department will determine in each individual case whether negotiations will be conducted formally or informallyr In determining best value, the University shall consider: 1) the purchase price; 2) the reputation of the vendor and of the vendor s goods or services 3) the quality of the vendor s good or services; 4) the extent to which the goods or services meet the University s needs; 5) the vendor s past relationship with the University; 6) the impact on the ability of the University to comply with the laws and rules relating to historically underutilized businesses and to the procurement of goods and services from persons with disabilities; 7) the total long-term cost to the University of acquiring the vendor s goods or services; P25 8) any other relevant factor that a private business entity would consider in selecting a vendor; and 9) the use of material in construction or repair to real property that is not proprietary to a single vendor unless the University provides written justification in the request for bids for use of the unique material specified. The following limits are established for competitive bidding and catalog purchase solicitations: a. $0 — up Procurement of goods and services from persons with disabilities (TIBH) must be considered when using state funds b. $0 - $5000 Printing — Requires2 bids when using state funds c. $0 - $5000 All other products and services — Contract negotiation of best value d. $5000.01 - $25,000 — Minimum 3 informal bids required; minimum 50% HUB vendors including one woman-owned and one minority-owned e. $25,000.01 - $49,999.99 — Minimum5 formal bids required; minimum 50% HUB vendors including one woman-owned and one minority-owned; Texas Marketplace posting required. f $50,000 - $99,999.99 — MinimumS formal bids required; minimum 50% HUB vendors including one woman-owned and one minority-owned; Board of Regents approval required; Texas Marketplace posting required. g. $100,000 and greater — Minimum 5 formal bids required; minimum 50% HUB vendors including one woman-owned and one minority-owned; HUB Subcontracting Plan required; Board of Regents approval required; Texas Marketplace posting required The University may use the process established in Government Code, Title 10. Subtitle D. Subchapter C. Section 2156 for the acquisition of goods and services by the competitive sealed proposal process. a. All competitive sealed proposals shall include HUB vendors of any gender and ethnicity when identified as providing the good or service identified. b. Texas Marketplace posting required for all procurement opportunities expected to exceed $25,000. c. All competitive sealed proposals expected to exceed $50,000 require Board of Regents approval. d. All competitive sealed proposals expected to exceed $100,000 require Board of Regents approval and the submission of a HUB Subcontracting Plan. P26 The University may purchase goods or services through group purchasing programs. a. All group purchases exceeding $50,000 require Board of Regents approval b. All group purchases exceeding $100,000 require Board of Regents approval Emergency Purchases An emergency purchase is defined as the purchase of goods or services that are so badly needed that the agency will suffer financial or operational damage if they are not secured immediately. Orders less than $5000 are not considered emergencies. Orders exceeding $5000 should be bid when sufficient time exists. Orders exceeding $25,000 require Texas Marketplace posting. An emergency is defined by the answer to the following questions: a. What is the emergency and/or what caused the emergency? b. What financial or operational damage will occur it needs are not satisfied immediately? c. Why could the needs not be anticipated so that proper procedures could be followed? Bid Submission. Bid Opening, and Tabulation a. Bid Submission 1. Prospective bidders may request specific bid invitations from the Purchasing Department at any time prior to the bid opening; 2. A bidder may withdraw its bid by written request at any time prior to the bid opening date and hour; 3. A bid received after the time and date established by the bid invitation is a late bid and will not be considered; 4. A bid received which does not contain adequate bid identification information on the outside of the envelope will be opened to obtain such information and will then be processed as any other bid. If the incorrect information on the envelope causes the bid not to be considered in making an award, the bid will be considered invalid and rejected; 5. Bids may be submitted by telefacsimile (fax). The telephone number for fax bid submission will be identified in the solicitation; no other number may be used for bid P27 submission. Bids submitted by fax need not be confirmed in writing, but must comply with all legal requirements applicable to formal bids. If all or any portion of a bid submitted by fax is received late, is illegible, or is otherwise rendered non-responsive due to equipment failure or operator error, the bid or the applicable portion of the bid will not be considered. The university shall not be liable for equipment failure or operator error, nor will such failure or error require other bids to be rejected or the bid invitation to be re-advertised. 6. Bids by telegram are not allowed; 7. An unsigned bid is not valid and will be disqualified; 8. A bidder or department may request, in person at the bid opening, that bids be read aloud. No bid shall be required to be read aloud at any time other than during regular working hours and days; 9. When formal bids are required, bids may not be taken or accepted by telephone; 10. If an error is discovered in a bid invitation, or agency departmental requirements change prior to the opening of a bid, the Purchasing Department will transmit an addendum correcting or changing the specifications to all bidders originally listed on the transmission list for that bid invitation. Bids will not be rejected for failure to return the addendum with the bid, if the change is noted on the bid or the product or service specification would not be changed by the addendum; b. Bid opening and tabulation. 1. All bid openings conducted by the Purchasing Department shall be open to the public. 2. Bid opening dates may be changed and bid openings rescheduled if bidders are properly notified in advance of the opening date. 3. If a bid opening is canceled, all bids which are being held for opening will be returned to the bidders. 4. All bid tabulation files are available for public inspection. Bid tabulations may be reviewed by any interested person during regular working hours at the offices of the Purchasing Department. Employees of the university are not required to give bid tabulation information by telephone. Stephen F. Austin State University adoptG the General Services Commission practice for bid submission, bid opening and tabulation as outlined in Texas Administrative Code 113.5 1 through 113.5-4. Source of Authority: Texas GoyernmontEducation Code, Title 10, Subtitle D, Chapters 51.9335(a) — (b)2151 through 217$ President; Vice President for Business Affairs P28 Cross Reference: Ne&eltems Requiring Board of Regents Approval, Index D-20.5; Historically Underutilized Businesses, Index C-I6.5 Contact for Revision: Director of Purchasing and Inventory Forms: None P29 Delegated Purchasing Authority C-10 Original Implementation: Unpublished Last Revision: October 26, \999October 23, 2001 Stephen F. Austin State University adheres to a policy of centralized purchasing for the purposes of: L insuring compliance with state and federal laws, rules, and regulations; 2. protecting the University from unauthorized acquisitions of supplies, equipment and services; 3. providing budgetary control and coordination; 4. insuring fair and ethical business practices; and 5. providing savings through consolidation of requirements, standardization of products where appropriate, and competitive bidding. The Purchasing Department, under supervision of the Director of Purchasing and Inventory, has sole authority for the negotiation and purchase of all goods and services for the University with the exception of contracts for construction and other matters signed by the President and/or the Chair of the Board of Regents/ferns listed in Index D- 20.5 Items Requiring Board of Regents Approval and the following. Certain specific delegations of this authority//?^/ exist under proper administrative approval. These delegations arc as follows: 1. The Manager of the University Bookstore is authorized to purchase books and other general merchandise for resale as required for efficient operation of the store. 2. The Director of the University Libraries is authorized to purchase books, periodicals, journals, and other related materials needed to maintain University resource material collections. 3. The Curator of the Stone Fort Museum is authorized to purchase general merchandise for resale in the museum gift shop. 4. The Physical Plant is authorized to make purchases with pre-assigned requisition numbers for completion by the Purchasing Office with the same number. 45. Account Administrators are authorized to make local purchases of items costing $500 or less through the Local Purchase Authorization procedures. See Local Purchase AuthorizationMethods of Purchase, Index C-20.A. P30 6. Account Administrators are authorized to make on-line office supply purchases with a requisition #, if a ProCard is not available for the account being used. $7. Employees are authorized to make procurement card purchases of items costing $2000 or less through the Procurement Card procedures. See Procurement Card, C-44, Procurement Card. 8. Employees without Procurement Cards or access to LPA s may make purchases approved by the Account Manager, and request reimbursement ONLY when other purchase options are not possible or available. 9. Employees are authorized to provide to vendors authorized PO numbers issued by the Purchasing office (telephone PO). In most cases the requisition must be entered and approved on-line before the PO# is issued. When determined appropriate by the Purchasing Office, the PO# may be issued without a requisition. In such cases, the requisition must be entered on-line within 24 hours, and referencing the PO#. 10. Certain payments may be made by completing a voucher for submission to the Controller s Office. See Purchase Voucher, Index C-31. 11. All other purchases are to be submitted as a formal request for the Purchasing Department to secure a good or service. See Purchase Requisition, Index C-30. All official correspondence other than that delegated above; i.e., bids, purchase orders, correction, cancellations, etc. shall be issued by the Purchasing Department. UNAUTHORIZED PURCHASES MADE OUTSIDE OF DELEGATED AUTHORITY Unauthorized purchases, regardless of the dollar amount, present problems for the Purchasing Department, Accounts Payable, vendors, and end-users. They create unnecessary work. Also, the individual responsible for the unauthorized purchase may be held personally liable for payment. Unauthorized purchases of any nature whatsoever shall be a personal obligation of the individual making such purchases, and will be non-binding on the University. Any person responsible for initiating an unauthorized purchase (responsibility will be determined by the Department Head, Dean, and/or Vice President) will be held personally accountable until the transaction is resolved. Resolution options are: A. To submit a letter signed by the individual, department head, dean, AND the Vice President, which must include: 1. Description of the goods or services purchased; 2. Reason for making the purchase without proper authority/delegation; and P31 3. Measures that will be taken to avoid recurrence of an unauthorized purchase in thefuture. B. To return goods to the vendor for full credit. The individual may be required to pay restocking fees or other charges, if any. C. To pay for the goods or services personally from own funds, NOT from University funds. Source of Authority: Vice President for Business Affairs Cross Reference: None Contact for Revision: Director of Purchasing and Inventory Forms: Ne&eApproval of Unauthorized Commitment of University Funds P32 Historically Underutilized Businesses C-16,5 Original Implementation: August 2, 1994 Last Revision: August 1, 2000October, 2001 In accordance with Texas Government Code, Title 10, Subtitle D, Chapter 2161, and 1 Texas Administrative Code section 111.11 through 111.25?, Stephen F. Austin State University will make a good faith effort to utilize Historically Underutilized Businesses (HUBs) in contracts for construction, services, including professional and consulting services and commodities contracts. The General Services Commission's (GSC)Texas Building and Procurement Commission (TBPC) HUB Rules, 1 TAC 111.11-111.257 encourages the use of HUBs by implementing these policies through race-ethnic-and gender-neutral means. The Director of Purchasing and Inventory shall serve as the official HUB Coordinator. The purpose of the HUB Program is to promote full and equal business opportunities for all businesses in State contracting in accordance with the goals specified in the State of Texas Disparity Study. GOALS GOAL #1 The University's specific goals have been adjusted to eliminate "overutilized" HUBs identified in the State of Texas Disparity Study and are as follows. Heavy Construction other than building contract .6% Building construction including general contractors and operative builders contracts 25.1 % Special trade construction contracts 47.0% Professional Services contracts 18.1% Other Services contracts 33.0% Commodities contracts 1.5% A. Competitive^^/ value procurement opportunities over $25,000, but less than $4025,000 require at least three informal bids, including behalf from certified HUB vendors. B. Competitive procurement opportunities involving catalog purchase negotiations over $2,000 require at least three solicitations from approved Qualified Information System Vendors, including two from certified HUB vendors. BG. Competitivoi?es/ value procurement opportunities over $4025,000 require at least threefive formal bids, including behalf 'from certified HUB vendors. CD. All competitivoFormfl/ best value procurement opportunities exceeding $10,000 will be posted to the Purchasing Department web site. P33 E. All competitive procurement opportunities exceeding $10,000 will be posted to the Texas Marketplace unless the buyer determines that no benefit will be gained by the posting. Z)F. AO-Best value procurement opportunities exceeding $25,000 will be posted to the Texas Marketplace. EG. AH-Z?es/ value procurement opportunities $100,000 and greater will require a HUB Subcontracting Plan (HSP) to be submitted as a required by 1 TAC Section 111.14. See Goal #3. GOAL #2 The University will pursue various forms of outreach to identify certified and non-certified HUB vendors with which to develop a business relationship. Vendors will be advised of and/or assisted with the State's certification process. A. The University Purchasing Department will host a vendor fair at which vendors across the state will be invited to participate. Vendors will be provided with information regarding how to do business with the University, as well as information about the HUB certification process, and other state rules and guidelines. The University campus, other state agencies, ISD's, and city and county governments will be invited to attend and make procurement opportunities available. B. The HUB Coordinator and/or Purchasing Department buyers will attend and participate in other economic opportunity forums in the Houston, Dallas and Austin Metroplexes and East Texas. C. The University Purchasing Department will utilize the HUB directory provided by the TBPCGSC on-line when selecting potential suppliers and subcontractors for commodities, services, and construction contracts. D. The HUB Coordinator will analyze expenditures after each reporting period and produce a mail piece to target various groups, i.e. specific service vendors, vendors by city or county, vendors by dollar amount, etc., and notify them of the State s HUB certification process if the HUB Coordinator determines that a mail piece would be beneficial. E. The University Purchasing Department will send a mail piece to all new Texas vendors added to the FRS vendor database advising them of the State's HUB certification process. GOAL #3 Stephen F. Austin State University will seek to contract with HUBs indirectly through subcontracting opportunities in accordance with Texas Government Code, chapter 2161, Subchapter F and Commission HUB Rules, 1 TAC Section 111.14. A. All procurements $100,000 or greater will require the University to prepare the bid document in accordance with thoincluding HUB Subcontracting Plan (HSP) requirements as developed by P34 the HUB Coordinator. Potential bidders will be required to submit a HUB Subcontracting Plan (HSP) as provided by the bid documents in order for the bid to receive consideration. GOAL #4 The University will establish educational training for personnel making procurement decisions to assure compliance with stated objectives. A. The University Purchasing Department will publish a newsletter which will, from time to time, include HUB information. B. The University Purchasing Department will conduct training seminars for all campus departments advising them of all current purchasing policies and procedures. C. ProCard training will include an emphasis on the need to make small purchases from HUBs and will include a list of HUB vendors for the most common purchases made with the ProCard. D. Regular training for the use of the on-line requisition system will include an introduction of general purchasing policies and guidelines. This introduction will include information regarding the requirements to make a good faith effort to purchase from HUBs. GOAL #5 The University will gather HUB data to comply with the reporting requirements of Texas Government Code, Title 10, Subtitle D, Chapter 2161 and 1 Texas Administrative Code sections 111.11 through 111.25?. Source of Authority: Vice President for Business Affairs Cross Reference: Texas Government Code, Title 10, Subtitle D, Chapter 2161; and Texas Administrative Code, sections 111.11 through 111281- Contact for Revision: Director of Purchasing and Inventory/HUB Coordinator Forms: None P35 Methods of Purchase Original Implementation: Unpublished Last Revision: August 1, 2000 Departments have five options for securing goods and sendees for departmental use. REQUISITION PURCHASES The department makes a formal request for the Purchasing Department to secure a good or sendee. The Purchasing Department places the order with the vendor. The department is responsible to follow the procedures outlined below. TELEPHONE PURCHASE ORDER The department secures purchase authorization and a purchase order number from the Purchasing Department. The department places the order with the vendor. The department is responsible to follow the procedures outlined below. EMERGENCY PURCHASESAn emergency purchase is defined as the purchase of goods or services which are so badly needed that the agency will suffer financial or operational damage if they arc not secured immediately. The lack of proper planning docs not constitute an emergency. a. What is the emergency and/or what caused the emergency? b. What financial or operational damage will occur if needs arc not satisfied immediately? c. Why could the needs not be anticipated so that proper procedures could be followed? LOCAL PURCHASE AUTHORIZATION The department makes a small dollar purchase ($500 or less) from a local area vendor. The department is responsible to comply with Policy C20. A Local Purchase Authorization. PROCUREMENT CARD PURCHASE The department makes a small dollar purchase ($2000 or less) using a University procurement card. The department is responsible to comply with Policy C 11 Procurement Card. VOUCHER PURCHASES Voucher purchases are allowed for only a limited number of goods or services. The department is responsible to comply with Policy C31 Purchase Voucher. REQUISITION PURCHASES *>c Specific requests by a department to purchase goods or services begins with the completion of a "Purchase Requisition" which must be approved by the account manager or his/her designee. See Policy C 30 Purchase Requisition. The purchase of highly technical items may require special assistance from the requisitioner. In such cases it is the responsibility of the requisitioner to provide technical support in the preparation of specifications and in the evaluation of bids. If bid review prior to award is specifically desired, please so state on the "Purchase Requisition". Requisition processing methods within the Purchasing Department differ depending upon source of funds, dollar value, and the type of good or sendee being acquired. Requisitions will be processed into purchase orders within one day to six weeks depending upon the processing method required. See the Purchase Requisition Processing Methods below. Some purchases require special approvals or processing due to their nature. (See Policy C 36 Special Purchases) P36 TELEPHONE PURCHASE ORDERS As an alternative to the normal requisition purchase method, departments may place the order with the vendor. Before doing so, the department must call their buyer to secure purchase authorization and a purchase order number. Once authorized, the department should place the order with the vendor. The following conditions must be met to use this procedure: a. The department must follow 'Catalog' procedures for the purchase of computing and networking products, supplies and services or provide sufficient justification for bypassing procedures. The buyer will advise of procedures and provide sources if needed. b. The purchase must not be for goods or services available through State Contract (E&G funds only). c. The purchase must be of a dollar amount which does not require formal written bids, or provide sufficient justification for bypassing procedures. See Emergency Purchase Guidelines d. The department must follow informal bidding requirements for total order amounts of $2000.01 to $10,000 or provide sufficient justification for bypassing procedures. See Emergency Purchase Guidelines below. The buyer will advise of procedures and provide sources, if needed. e. The department must secure two bids for printing regardless of the dollar amount (E&G funds only). The Phone Purchase Order may be secured in one of two ways. 1. On line Requisition Entry a. The requisition must be entered on line and all approvals posted before calling the buyer. b. Once approved, the buyer will verify the appropriateness of the purchase and secure a purchase order number. c. The department will place the order with the vendor. 1. Unless sufficient reason exists to have the delivery made directly to the department, provide the vendor with the Central Receiving Address: 2121 Wilson Drive. 2. Tell the vendor to reference the purchase order number on shipping and billing. 3. If the vendor requires a hard copy prior to filling the order, the purchase requisition must be forwarded to purchasing for handling through the Requisition Purchase process. d. The department is responsible to immediately forward any quotations or price comparisons received. 2. No Requisition a. In extreme cases, the buyer may issue the purchase order number to the department without a requisition in place. It is the department's responsibility to forward a purchase requisition to the buyer promptly within 21 18 hours. b. The purchase requisition should include a Confirmation Statement such as "Telephone order placed (date) with (name of person), DO NOT DUPLICATE". P37 EMERGENCY PURCHASES An emergency purchase is defined as the purchase of goods or services which are so badly needed that the agency will suffer financial or operational damage if they are not secured immediately. The lack of proper planning does not constitute an emergency. When an emergency purchase must be made, the following questions are to be answered in a justification accompanying the "Purchase Requisition". a. What is the emergency and/or what caused the emergency? b. What financial or operational damage will occur if needs are not satisfied immediately? c. Why could the needs not be anticipated so that proper procedures could be followed? The requisition should be entered on line for emergency processing or the department may follow telephone PO procedures. PURCHASE PROCESSING METHODS 1. CATALOG VENDOR PURCHASES a. $0.00 $2000 Contract negotiation of best value b. $2000.01—$100,000—Minimum 3 informal price comparisons required and mandatory posting on the Texas Marketplace if over $25,000; minimum 2 prices required from HUBs. c. OVER $100,000—Minimum 3 Formal price comparisons required, mandatory posting on the Texas Marketplace, and mandatory HUB Subcontracting Requirements. (See Policy C 16.5 Historically Underutilized Businesses) 2. STATE CONTRACT PURCHASES No bid required at any cost; mandatory use on E&G accounts. Call Purchasing for exceptions. 3. GSC OPEN MARKET PURCHASE OF **PRODUCTS** Mandatory use on E&G accounts for purchases greater than $25,000. A. DELEGATED PURCHASE OF **PRODUCTS** a. $0.00 $2,000.00 Contract negotiation of best value (E&G funds only: printing requires 2 b. $2,000.01 $10,000.00 Minimum 3 informal bids required Minimum two bids required from HUBs c. $10,000.01 $25,000 Minimum 3 formal bido required Minimum two bids required from HUBs d. $25,000.0land greater P38 E&G: Follow GSC Open Market procedures Other Funds: Minimum 3 formal bids required Minimum two bids required from HUBs Mandatory posting on the Texas Marketplace Mandatory HUB Subcontracting Plan Requirements for $100,000 and greater 5. DELEGATED PURCHASE OF **SERVICES** a. $0.00 $2,000.00 Contract negotiation of best value b. $2,000.01 $10,000.00 Minimum 3 informal bids required Minimum two bids required from HUBs c. $10,000.01 $25,000 Minimum 3 formal bids required Minimum two bids required from HUBs d. $25,000.01 $99,999.99 Minimum 3 formal bids required Mandatory posting on the Texas Marketplace e. $100,000 and greater—GSC review and approval of best value specifications prior to advertisement (E&G), mandatory posting on the Texas Marketplace, and mandatory HUB Subcontracting Plan Requirements. 6. EMERGENCY—All purchase procedures may be over ridden by a legally acceptable Emergency situation, except for mandatory posting on the Texas Marketplace for emergency purchases exceeding $25,000 and mandatory HUB Subcontracting Plan Requirements for purchases $100.000 and greater.77*g lack of proper planning does not constitute an emergency. a. What is the emergency and/or what caused the emergency? b. What financial or operational damage will occur if needs are not satisfied immediately? c. Why could the needs not be anticipated so that proper procedures could be followed? Source of Authorityi Texas Government Code, Title 10, Subtitle D, Chapters 2151 through 2176; President; Vice President for Business Affairs Cross Reference; None Contact for Revision: Director of Purchasing and Inventory Forms: Purchase Requisition, see index C 30; Local Purchase Authorization, see Index C 20.^ (available from the Purchasing Department) P39 Prompt Payment to Vendors and Employees C-25.1 Original Implementation: April 21, 1998 Last Revision: NeaeOcfo&er 23, 2001 It is the intention of Stephen F. Austin State University to comply with the State s Prompt Payment Act and make prompt payments to both vendors and employees. It is also the intention of the University to process these payments using the most efficient means available. Therefore, the Controller g Office will schedule and post due dates for disbursement documents for both vendor payments and payroll transactions and adhere to its posted schedule. Payment to Vendors Three requirements must be met before a disbursement can be made to a vendor: 1. There must be an approved order for goods or services that has been signed/authorized by the account manager or his designee. Under certain circumstances this requirement may be waived. See Policy C 31 regarding Purchase Vouchers. 2. The goods or services must have been received. Most goods are delivered either directly to a department or via the Purchasing Department; however, acknowledging the receipt of mek goods or services is ultimately the responsibility of the department which placed the order. 3. The vendor must provide an itemized invoice which should be sent to Accounts Payable. If an invoice is received by the department, it should be date stamped and immediately forwarded to Accounts Payable. The Controller s Office is responsible for processing payments in a manner which ensures compliance with the Prompt Payment Act once these three requirements have been met. Interest must be paid to a vendor for payment made after 30 days. Such interest payment will be charged to the department if it caused the late payment. Payment to Employees There are two requirements must be met before for producing a payroll disbursements can be made to an employee: 1. The employee must be approved via a signed Personnel Authorization Request (or a signed Student Employment Card if the employee is an undergraduate student assistant). 2. There must be appropriate documentation that the employee performed services during the pay period. This usually requires employee time-keeping records and may include the data entry of a specified number of hours for hourly-paid employees. The Controller s Office will process payroll checks for employees in compliance with the State of Texas payroll calendar^ or as approved by the University president. P40 When payment has been delayed because a university department did not meet the above requirements and/or i/f a university department requests the Controller s Office to process a payment outside its normal operating procedures for any reason, the department shall be assessed a Special Processing Fee of $50. If a university department requests the Controller s Office to process a payment outside its normal operating procedures for any reason, the requesting department shall be assessed a Special Processing Fee of $50. Source of Authority: Vice President for Business Affairs Cross Reference: None Contact for Revision: Controller Forms: None P41 Purchase Requisition C-30 Original Implementation: Unpublished Last Revision: January 25, 2000October 23, 2001 Specific requests by a department to purchase goods or services begins with the completion of a "Purchase Requisition" that must be approved by the account manager or his/her designee. The purchase of highly technical items may require special assistance from the end user. In such cases it is the responsibility of the end user to provide technical support in the preparation of specifications and in the evaluation of bids. If bid review prior to award is specifically desired, please state on the "Purchase Requisition". Items that can be purchased from the same vendor should be grouped on the same requisition. Requisition processing within the Purchasing Department differs depending upon source off unds, dollar value, and the type of good or service being acquired. Requisitions will usually be processed into purchase orders within one day to six weeks. See Policy C-79 Best Value Procurement. The "Purchase Requisition" may be generated in one of two ways: 1. On-line Requisitions are entered through the FRS System following the guidelines outlined in the FRS Purchasing Software Manual. Contact the Purchasing Office for more information if you do not currently have this access. Copies of the manual and on-line registration for training are available at www, sfasu. edu/purchasing/training. html. 2. Hard-copy Requisitions are available through the m&ITS Forms Server at the following URL: on tho SFA Home 9&gbzhttps://apache.SFASU.EDU/sfaJ°orms/purchase_req.shtml. Obtain appropriate signatures. Mail or fax the completed requisition to Purchasing. URL: www.sfasu.edu Click on: University Click on: Business Affairs Click on: SFA Business Forms Click on: Forms to Fill Out Click on: Purchase Requisition Fill in the blanks and click Submit at the bottom of the screen. A completed form will bo generated and may be printed. If you prefer to print a blank form and-type^ do not fill in the blanks. Click Submit at the bottom of the screen; a completed blank form will be generated and may be printed. Mail or fax tho completed requisition to Purchasing. P42 Items which can be purchased from the same vendor should be grouped on the same requisition; if from different vendors, the items should be on different requisitions. If a second page is required to list all items being ordered, you may create another "Purchase Requisition" noting that it is a continuation or attach additional pages noted as a continuation. Source Of Authority: Texas Government Codo, Title 10, Subtitle D, Chapters 2151 through 2176; President; Vice President for Business Affairs Cross Reference: Policy C-7, Best Value Procurement Contact For Revision: Director of Purchasing and Inventory Forms: Nono/rS Forms Server: https://apache.SFASU.EDU/sfa forms/purchase req.shtml: Best Value Procurement P43 Purchase Voucher C-31 Original Implementation: September^ 1990 Last Revision: April 21, 1998 October 23, 2001 Normally, purchases for goods or services which are ordered, delivered and then invoiced by the vendor. These purchases are should be acquired by submitting a purchase requisition to the Purchasing Department to assure that proper purchasing procedures have been followed. (See Policy C 20, Methods of PuvchastDelegated Purchasing Authority, Policy C-10.) Nominal purchases of goods less than $500 may be made from local vendors using the LPA process described in Policy C 20.A. Occasionally purchases &r-Some purchasesexptnditures, however, are made which do not involve ordering goods or waiting for a vendor's invoice. These transactions should be are initiated on a purchase voucher. -Purchase vouchers should be used for the following: 1. Occasional use of oOvernight mail package services (See Express Mail Services, Policy F-ll) (The State of Texas contract for overnight package service represents the best rates. Contact the Purchasing Department to set up an account with the current contractor. If these services are used often, the account manager should enter a purchase requisition to encumber the funds at the beginning of the year.) 2. Membership fees and dues (not including a subscription) 3. Licensing fees (except software licensing fees) 43. Notary bonds 54. Refunds of fees 6&. Postage 76. Prepayment of registration fees for business conferences, workshops and seminars #?. Settlement agreements 9%. All purchases from agency accounts The Purchase Voucher Form may be accessed online at purchase voucher form. It may be completed online, or printed out and completed manually. Once completed, the hard copy must be signed by the account manager, and forwarded with supporting documentation to the Controller's Office, Box 13035, for processing. The Purchase Voucher form may be downloaded from the SFASU web site and completed by the department initiating the payment. The completed Purchase Voucher form must include the payee's name, address and tax identification number. It should indicate the account to be charged. It must be signed by the account manager or his designee and accompanied by appropriate supporting documents and forwarded to Accounts Payable, Box 6085, for processing. P44 Payments which have been inappropriately initiated on a purchase voucher will be returned to the originating department for proper processing through the Purchasing Department. Source of Authority: Vice President for Business Affairs Cross Reference: NeaeDelegated Purchasing Authority, Policy C-10; Express Mail Services, Policy F-11 Contact for Revision: Controller; Director of Purchasing and Inventory Forms: Purchase Requisition; SFASU Purchase Voucher Questions regarding the preparation of forms mentioned in this policy should be directed to the Purchasing Department or the Controller's Office. P45 Purchasing Authority Original Implementation: Unpublished Last Revision: October, 1999 Stephen F. Austin State University adheres to a policy of centralized purchasing for the purposes of: 1. insuring compliance with state and federal laws, rules, and regulations; 2. protecting the University from unauthorized acquisitions of supplies, equipment and services; 3. providing budgetary control and coordination; 4. insuring fair and ethical business practices; and 5. providing savings through consolidation of requirements, standardization of products where appropriate, and competitive bidding. All official correspondence with the General Services Commission and vendors regarding requisitions, bids, and purchase orders shall be issued by the Purchasing Department. In no case should any department attempt to modify an order through direct contact with the vendor or the General Sendees Commission. The Purchasing Department has sole responsibility for canceling or correcting purchase orders. Source of Authority: Vice President for Business Affairs Cross Reference: None Contact for Revision! Director of Purchasing and Inventory Forms* None P46 Purchasing Ethics and Confidentiality C-33 Original Implementation: Unpublished Last Revision: April 20, \999October 23, 2001 Stephen F. Austin State University follows a code of purchasing ethics which prohibits the solicitation or acceptance of gifts or gratuities which might tend to influence purchasing decisions. It shall be a breach of ethical standards for any employee or former employee to knowingly use confidential information for actual or anticipated personal gain, or for the actual or anticipated gain of any other pQrson.Credibility and public confidence are vital throughout the purchasing and contracting process. If any involved party displays a lack of honesty, integrity or openness\ the entire program is injured. Even the shadow of doubt can be as harmful as the conduct itself Any SFA employee involved in any form of procurement or the procurement process may not: •participate in work on a contract by taking action as an employee through decision, approval disapproval recommendation, giving advice, investigation or similar action knowing that the employee, or member of their immediate family has an actual or potential financial interest in the contract, including prospective employment; • solicit or accept gifts or gratuities which might tend to influence purchasing decisions; • be employed by, or agree to work for, a vendor or potential vendor; • knowingly disclose confidential information for actual or anticipated personal gain, or for the actual or anticipated gain of another person. When an actual or potential violation of any of these standards is discovered, the person involved shall promptly file a written statement concerning the matter with an appropriate supervisor. The person may also request written instructions and disposition of the matter. If an actual violation occurs or is not disclosed and remedied, the employee involved may be either reprimanded, suspended, or dismissed. The vendor or potential vendor may be barred from receiving future contracts and/or have an existing contract canceled. If not related to a particular transaction, University employees may accept from vendors and others: (1) unsolicited advertising or promotional material such as pens, pencils, scratch pads, and calendars; (2) occasional business lunches or food and refreshments of insignificant value; and (3) other items of nominal or minor value (i.e., a box of candy or fruitcake, etc.) that are merely tokens of appreciation. Purchasing professionals have the right under law to have any ethics question reviewed and decided by the State Ethics Commission. If you wish to learn whether a specific action violates the ethics rules, please contact the State Ethics Commission, 1101 Camino La Costa, Austin, Texas 78752 or call them at 1-800-325-8506. Source of Authority: Vice President for Business Affairs Cross Reference: None Contact for Revision: Director of Purchasing and Inventory Forms: None P47 Request to Establish an Account C-34 Original Implementation: Unpublished Last Revision: July 14, 190 Wctober 23, 2001 Requests to establish a new account must be submitted on the "Request to Establish an Account" form. This form originates in the requesting department and is submitted through appropriate division channels for approval. The request is submitted to the Director of Financial Services after division approval. The Director of Financial Services may approve the request or obtain the approval of the Vice President for Business Affairs, establish the account, or forward the request to the Controller to approve and establish the account. Requests for expenditure accounts must include a detailed budget. No account will be established until funding for the account is available. No funds will be obligated or expended until the account is established. The office that assigns the account number will notify the account manager when the account is ready for use. Source of Authority: Vice President for Business Affairs Cross Reference: None Contact for Revision: Director of Financial Services Forms: Request to Establish an Account (available in University Printing Services, the Controller s Office and the Director of Financial Services Office) P48 Property Inventory and Management C-42 Original Implementation: September 28, 1996 Last Revision: ApriUQOctober 23, 2001 Centralized property management and control is performed by the Purchasing and Inventory Department. The Director of Purchasing and Inventory and the Property Managers are responsible for the overall management of University equipment, maintenance and control of centralized inventory records, and disposition of surplus, salvage and scrap. (See Property Transfer and Disposal Policy B-24). Property acquired under Federal or State grants and contracts is inventoried and maintained according to the same guidelines of the University's centralized property management and control described herein. In accordance with Texas Government Code Ann. Sec. 403.271 (a) through 403.278, Stephen F. Austin State University will comply with the State Property Accounting Policies and practitioner's standards as outlined in the State Property Accounting Policy and Procedures Manual. Stephen F. Austin State University shall be certified as an internal agency. PROPERTY DEFINITIONS Items are added to the SPA centralized inventory records at the time of acquisition and are carried in the system at original cost value until disposed of through surplus. The Property Manager is responsible for assignment and control of inventory numbers. Inventory control tags are normally applied by Central Receiving prior to delivery or by property office representatives after delivery. As outlined in the State Property Accounting (SPA) Policy and Procedure Manual, property will be added to centralized inventory records as follows: Capitalized Equipment All equipment with a useful life of greater than one year and a value of greater than $+5000 or more Controlled Equipment All equipment with a useful life of greater than one year and a value greater than $500 in the following commodity groups: fax machines, telecopiers stereo systems cameras, video cameras TV/VCR camcorders/laserdisk player balance centrifuge incubators and accessories P49 microscopes and accessories oscilloscopes microcomputers, servers and laptops printers All equipment with a useful life of greater than one year and any value in the following commodity groups: firearms of any type University Controlled Equipment The Property Manager has determined that the following items will be added to centralized inventory records with a useful life of greater than one year and at any value: microcomputers, servers and laptops monitors printers additional item(s) that the department head feels may be subject to a high risk of theft (requires Property Manager approval) PROPERTY RESPONSIBILITY The President delegates responsibility for the custody and care of state property to the Property Managers and the Department Heads. The Property Managers shall perform updates and make all additions, deletions and value adjustments to inventory records. The department heads are to exercise proper care and control over all assets for which he/she is responsible and report needed or desired adjustments to the Property Managers in a timely manner. PROPERTY RESPONSIBILITY WITH CHANGE IN DEPARTMENT HEAD Out-Going Department Head When there is an administrative change in department heads, the out-going department head (interim or permanent) must request from the Property Manager a current list of inventory items for which he/she is accountable. Verification of all items must be completed and the Change in Department Head form signed by the out-going department head within 30 days prior to the individual s last day. Verification of property includes documenting that all items are accounted for and in good condition. In-Coming Department Head The incoming department head (interim or permanent) must request from the Property Manager a current list of inventory items for which he/she will be accountable. Verification of all items must be completed and the Change In Department Head form signed by the incoming department head within 30 days of the individual s first day. P50 Verification of property includes documenting that all items are accounted for and in good condition. PROPERTY MAINTENANCE AND VALIDATION Each department head is to exercise care and control over the assets for which he/she is responsible. Property should be monitored on a perpetual basis. Location changes are to be reported to the Property Manager as they take place. Transfers to surplus or other departments must have prior approval of the Property Manager. (See Property Transfer and Disposal Policy B-24) Missing or Stolen Property must be reported immediately. Annual Physical Inventory Audit To validate the accuracy of property records, an Annual Physical Inventory Audit is conducted February through April of each year. During this Annual Physical Inventory Audit each department head is responsible to physically count and verify by tag number and room location all items on the official departmental inventory. Each item on the report must be physically marked showing verification of the item and its location or documented as to the reasons for not being verified. Responses will be due from custodian departments within 45 days. The annual property report is due to SPA 45 days from the department due date. Each department head shall sign an Annual Inventory Audit Receipt and return it to the Property Manager along with a documented copy of the departmental inventory. The receipt will include the following statement: "I understand that I am under financial liability for loss or damage to this (these) item(s) if the loss or damage results from my negligence, intentional act, or failure to exercise reasonable care, safeguard, maintenance, or servicing." Spot-Check Validation Property validation spot-checks will be conducted by Property personnel in a routine fashion to allow independent verification. Other spot-checks will be performed when necessary. Spot-checks will not be performed during annual inventory (January April). Monthly Transaction Statements Transaction statements listing all a